Economy

The growing independent firm has recruited five ex-wirehouse planners since the start of the year.

Andy Sieg, head of the firm, had previously indicated that he was open to rethinking aspects of the firm's efforts to comply with the regulation.

The last time the pool was smaller was in 2012, when it decided to cut large parts of the investment bank and was fined for trying to rig global interest rates.

The firm is one of the first to issue a formal comment letter on the Department of Labor's proposal to put off the regulation's implementation date.

Qapital's funding round comes as banks are increasingly adding money-management tools to their mobile apps.

The 20-year veteran planner cites Raymond James' greater flexibility and marketing support.

Patricia Bennett says she visited the regional's firm home office three times before deciding to make the move.

Two of its Royal Alliance firms form a $2.5 billion powerhouse.

The former Wells Fargo executive will command a team of 10 local private bankers in the Hudson Valley and metro New York market.

The firm previously shuttered a wealth management unit last year that failed to take off despite some high profile hires.

Five new advisers managing $464 million joined the regional firm, which now boasts 61 locations.

The 17-year industry veteran says organic growth is the biggest issue facing advisory firms.

Keith Rowling ranked No. 2 on the 2016 list of the industry's top young producers.

The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.

The six-member team serves ultrahigh-net-worth investors and families.

The ex-wirehouse advisers are partnering with Stanley Hochhauser, an industry veteran of more than 50 years.

Avoiding these mistakes with a small business is essential.

A March 10 employment report is the most significant data report before decision day, March 15.

The group previously generated over $1 million in annual revenue.

There's no point in waiting on new policy to initiate preparation that is protective and vital, no matter what the ultimate law may be.