RIAs

Industry groups see the new AML requirements as unnecessarily redundant and burdensome on small firms.

Alfred Nobel was the inventor of dynamite and founder of the annual prizes.

The industry's growth has set records in the number of firms, client assets and M&A deals. These firms stand out from their peers, though.

The deal marks the fourth purchase for CW Advisors since a private equity firm bought a majority stake in it last year.

Advisor consultants say it's time to do a tech gut check as new technology is bloating firms into paying for costly and often unnecessary tech stacks.

The latest push-pull episode between the giant firm and its large branches came to light in its earnings call. Unanswered questions loom large for its future.

While big firms keep getting hit with lawsuits alleging unfair cash sweep policies, MaxMyInterest is generating returns from cash through the competitive marketplace.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

Like cable companies, Fidelity Investments has joined the bundled pricing trend, targeting smaller firms with lower-cost options to access their multiservice platforms.

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