Financial institutions

Opponents argue that the long time horizon and heated controversy could convince the White House to back away from the retirement plan proposal.

Two UBS advisors managing more than $300 million in assets have joined Wells Fargo.

UBS' Barry Ringelheim has seen enormous changes in the industry during his 46-year career as a financial advisor. But he says earning clients' trust remains the foundation of the business.

For clients, is one type of firm, business model or fee structure better than another?

OnWallStreet's annual ranking of the wealth management industry's top wirehouses and regional broker-dealers shows continued growth at these firms but they still face challenges growing their business. See which firms ranked highest and how the industry's leaders plan to stay on top.

OnWallStreet's annual ranking of top wirehouses and regional broker-dealer firms in the employee advisory channel gives an encouraging snapshot of the wealth management industry. This year’s analysis from surveys and both corporate and public filings shows growth across the board.

Advisors can avoid risks and find success in breaking away to independence, says Shirl Penney, founder of Dynasty Financial Partners.

Comprehensive financial planning isn't just good for clients. It's also good for business -- and advisors and their firms are paying attention.

Clarity in strategic vision and compensation boosts advisor satisfaction, according to a new J.D. Power & Associates study.

Father-and-son advisor team managing more than $200 million in assets left Sterne Agee for Raymond James.

A Stifel advisor team that managed almost $200 million in assets has left the firm to join Raymond James & Associates.

An advisor team managing more than $170 million in client assets has left UBS to join Stifel, Nicolaus.

UBS, Switzerland’s biggest bank, named former U.S. Senator George Mitchell chairman of a new advisory council for the firm’s business in the Americas.

Citigroup assets at its Asian wealth management businesses climbed to a record $251 billion at the end of May as U.S. and European banks have been seeking to boost their wealth businesses in Asia to tap rising affluence in economies from China to Southeast Asia.

UBS AG is a better bet than its Zurich neighbor Credit Suisse Group AG even though it’s more exposed to legal risks, according to JPMorgan Chase & Co. analysts.

Sterne Agee Group's former chief executive officer faces a U.S. probe into whether he misused company assets such as airplanes, boats, hunting clubs and condominiums, a person with knowledge of the matter said.

U.S. authorities in Puerto Rico are investigating allegations that a former UBS AG broker improperly advised clients to borrow money to make investments, a person briefed on the probe said.

Two former RBC advisors managing about $230 million in combined assets jumped to Baird.

A trio of former Raymond James advisors has moved to Stifel, Nicolaus, the traditional employee broker-dealer of Stifel Financial.

Wells Fargo poached four advisors managing more than $450 million in client assets from rivals UBS and Morgan Stanley.