Independent advisors

After the ink dries on the contracts and the press releases are out, wealth management firms still need to put in the work to make a deal succeed. Here's how.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

The appointment comes as the storied Wall Street dealmaker seeks to build its ultrahigh net worth business while providing support services to independent advisors.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.

A new report by fintech company Vanilla found what drives clients of all wealth levels, including the wealthiest, when planning their last wishes.

Advisors have until Dec. 3 to opine on proposed revisions to types of misconduct and resulting sanctions.

The team joining Fidelis Capital will specialize in working with wealthy families.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The paperwork of moving client assets in a transition is a chore for many advisors, but crucial to their success.