Economy

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

The firm aims to maximize its value to advisors, but observers caution that it faces big challenges.

CEO Dan Arnold listed three reasons why the firm thinks its rivals peeled off some advisors.

Get ready for advisors to run for the exits.

If one day’s immersion in world news teaches us anything, it is that risk is not just a game.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

The fourth largest IBD added a super OSJ with $650 million in AUM.

The award marks the largest of its kind this year.

Independent Financial’s haul includes a new affiliated RIA launched by five of the practices.

Positioning clients to weather market volatility and potential correction has become a top concern.

Face-to-screen technology will allow advisors to seek clients from around the globe — it also will increase competition.

California Credit Union and North Island Federal Credit Union consolidated their investment programs in anticipation of their merger in March.

The firm has signed four big recruiting deals in the past three months.

The independent firm affiliated with Raymond James has been on a recruiting tear this year.

The brokers joined Wells Fargo's independent broker-dealer.

The wirehouses have lost teams overseeing more than $12 billion in client assets over the past month, according to recent hiring announcements.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

Woodbury Financial has peeled off more than 80 advisors in the wake of LPL’s giant acquisition.

Four of the departures happened in New York following the firm's abrupt departure from the Broker Protocol.