RIAs

Failing to have a solid succession plan is one of many risk factors that can tank an advisory practice's selling price, industry pros warn.

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.

We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions in the last year.

Raymond James also recruited from Charles Schwab, and LPL from Raymond James and Merrill

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

Executives say the Bank of America subsidiary likely benefited from clients in 2023 seeking a safe harbor from teetering regional banks.

The number of financial advisors at America's biggest bank dropped slightly from last quarter but was still up from last year.

A Tax Court ruling that limited partners in an investment manager must pay Uncle Sam could cause some restructuring across the industry, an expert said.

The mega bank says more than half of its roughly 300,000 are already back in the office every day of the work week.

LPL also drew from Osaic again, RIA aggregators made some big M&A deals and Merrill rehired an executive who left to go to Citi more than six years ago.