Wealth management

From fees to geography, here are some of the best ways to attract and keep high-net-worth investors.

The new hires are the latest recruits to join the regional firm.

One untapped resource is appealing to investors to allocate more of their private wealth to companies with successful gender diversity programs.

Advisors are just one tool in the box.

Smaller brokerages are benefiting in big ways from cutbacks at three of the four largest firms.

The nation’s largest broker-dealer must convince thousands of NPH advisors to make the transition.

The firms had the same parent, but Girard Securities’ CEO says the move will help its 200 advisors.

Blue Moon Wealth Advisory becomes the eighth major purchase for the RIA in the past 18 months.

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A primer on characteristics that enable advisors to build a successful practice that entails very little marketing.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Securities America adds 10 advisors in the second recent poach by a Ladenburg Thalmann firm.

Two of the groups joined the regional firm from Morgan Stanley.

The company spent $77 million on technology last year, but difficult changes lie ahead.

Dan Rothenberg of UBS says it's given his team an "easier hurdle to be beat rather than a benchmark."