Independent advisors

The prohibition would be on most contract provisions meant to keep emplolyees from taking jobs with competitors.

Three advisory teams managing $10 billion in the San Francisco area are among an ongoing wave of departures from the biggest U.S. bank.

The CEO of the RIA "roll-up" outfit thinks that ongoing industry consolidation doesn't necessarily mean all firms will start to look the same.

Survey results from the payment processing firm AdvicePay suggest fee-for-service models for financial planning continues to grow.

It's not that most firms lack distinct services and a distinct character. It's that so many are bad at conveying these traits to potential clients.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

The legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

Barry Sommers comes in for high praise amid his firm's attempts to move beyond the banking scandals of its past.

The proposal comes as regulators say they've seen a fourfold increase in suspicious activity tied to RIAs.