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

The RIA president says he and his colleagues will spend the next few weeks figuring out how the Personal Financial Management unit's office can fit in with its new owner.

From boat cruises to wine bottles to equity compensation, here's what successful recruiting for advisors looks like in 2023.

A new book by Harvard Law School professor and former SEC official John Coates warns of "a deep tension" threatening the American economy and politics.

Raymond James had scored the big team in May, before Securian's sale of its retail wealth business to Cetera closed.

The planned sale marks another step for the Wall Street giant away from previous plans to work more with retail customers.

The company is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.

World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.

The private equity-backed consolidator led by Peter Mallouk opened a new unit after acquiring a different Twin Cities-area firm earlier this summer.

It's a good time for savvy financial firms to scan for the right teams to onboard.

The move comes as LPL boasts hefty profit gains in earnings and Kestra struggles with debt.

A sale of the business bought four years ago would undo another part of CEO David Solomon's ill-fated move into managing money for a wider array of clients.

More assets, less debt and a new name are among the Canadian asset manager's wealth highlights.

The Wilmington, Delaware, bank announced this week that it had purchased Bell Rock Capital. WSFS' management says that legal troubles involving that investment advisory firm's founder won't affect the transaction.

CG Advisory Network's move comes less than a month before the transition of clients from TD Ameritrade is scheduled to take place.

Interest rates, compensation and costs relating to the firm's pending deal to go private tore a hole in the RIA aggregator's earnings for the second quarter.

As thousands of advisors prepare to join the Schwab family in a month's time, insiders are weighing in on what it means for the industry.

The deal will preserve independence in the face of competitive pressures, the outgoing CEO of Sentinus said in an interview.

Moves to Osaic, LPL, Raymond James, Steward Partner, Sanctuary and Cresset display how wealth management giants are broadening their appeal.

Despite the rate of M&A slowing in the industry, LPL says it will continue to be a "significant source of growth."