Wealth management

The recruits left Morgan Stanley and UBS to go with the independent channel at Wells Fargo.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

The independent firm affiliated with Raymond James recruited six advisers for a new branch office.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

The platform provider added a breakaway RIA to score a victory in its battle with rival HighTower.

Just in case clients are looking to cut few corners, here are some of the most common tax frauds that the agency is ready to pounce upon.

Over $1.7 billion per transaction changed hands in the fourth quarter, according to Charles Schwab.

Advisers might want to steer their practices away from doctors and toward millennials.

Carolyn Armitage joined the RIA M&A consultant after LPL eliminated the enterprise consulting division.

It may be only a matter of time before advisers begin embracing lower offers.

It will cost you, but the right team can help you define your business and get your message to qualified potential clients.

It’s the third wirehouse team to move to HighTower's outsourcing service this year.

The ultrahigh-net-worth unit hired a regional director from its parent firm to lead a new office.

The planner-turned-RIA owner is an industry veteran of nearly four decades.

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

Changes can substantially reduce the value of delaying widow(er) benefits for surviving spouses.

A Senate bill would provide liability protections for advisors who report suspected abuse of senior clients.

Even a well-intentioned compliance manual can draw the ire of regulators.

Some banks are looking to hire advisers or buy firms, while others are looking to get out of the business entirely.

The rule’s outlook seems uncertain, but a strong undercurrent is carrying the industry along.