A founder of Harbor Lights Financial Group said he and his partners scouted possible private equity buyers and decided LPL was the best option for preserving their firm's legacy.

The firms acknowledge on social media that they are responding to technical difficulties.

The hires add credibility to the wirehouse's renewed commitment to recruiting.

From a logo inspired by a clothing decoration to a name inspired by the cosmos, learn why these eight financial services revamped their brands.

Prosecutors accused firm founder David Gentile and his partner of putting at risk more than $1.8 billion raised from thousands of investors.

With shares in the acquirer growing as a percentage of the consideration, the rollovers pose important practice management, tax and business implications.

Berkshire still holds almost 962 million shares, the filing shows — worth $39.5 billion at Monday's closing price.

The latest court dispute between the two wealth management giants issues a widespread indictment against LPL's recruiting practices.

With the exact timeline and eventual destination unclear, the private equity-backed firm was revealed as one of two major OSJs departing from LPL.

FINMA, the Swiss Financial Market Supervisory Authority, is tightening its scrutiny following the collapse of Credit Suisse last year.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

As a managing director within Citi Investment Management, a division that sits within wealth, White is playing an integral part in reshaping that line of business.

The surprise announcement of their exit distracted from some record metrics and the firm's indication that it will be keeping its cash sweep yields the same.

Chase has launched a generative AI tool that acts as a research analyst for the mega bank's employees, according to an internal memo viewed by Bloomberg.

Ameriprise Financial reported higher second-quarter earnings driven by its wealth groups.

Net revenue for the Private Client Group reached a new height of $2.42 billion, an 11% jump from the same quarter last year.

CFO Jim Marischen commented on the company's cash sweep policies, following industry concerns about the practice.

The family-run Investment Advisors Financial Group team brings $1 billion in assets.

The pair previously worked together at the Denver office of Citi Private Bank.

Another private equity investor placed a large bet on wealth management as the latest insurer to sell its industry holdings spun off an attractive asset.