An AdvizorPro study found that more than one-quarter of registered investment advisors are multicustodial. Registered investment advisors are opening to newer custodians as they seek multiple partners ...

The advisor put 96% of one client's liquid net worth into the speculative bonds issued by GWG Holdings, according to Finra. The Financial Industry Regulatory Authority has sanctioned a former ...

Mary Erdoes, head of J.P. Morgan’s asset and wealth management business, intends to continue in that role regardless of who takes over Jamie Dimon’s job, sources said. This story originally ran on ...

With a widely anticipated shortage of financial advisors approaching, registered investment advisory firms face a difficult choice: Change how they find talent or risk falling behind. RIAs and ...

The public comment period on the Financial Industry Regulatory Authority 's proposed updates to its rules governing brokers' outside business activities closed on Tuesday, capping a particularly ...

Hub International said its valuation is now seven times higher than it was 12 years ago following the sale of a stake to several firms led by T. Rowe Price Investment Management.

The company has put out a roadmap for the next two years that includes improvements in its CRM, tax harvesting, UI and more. Envestnet said it's planning a series of improvements across its fintech ...

Despite recently dismissing its lawsuit accusing cryptocurrency exchange Coinbase of illegally peddling cryptocurrencies, the Securities and Exchange Commission is still investigating whether the ...

Warren Buffett still believes he can steer Berkshire Hathaway through the most volatile of markets — the same way he did when he first started six decades ago — but he has realized there's finally ...

Newly minted Raymond James Chief Executive Officer Paul Shoukry is reassuring affiliated advisors of the firm's commitment to independence amid increased consolidation in the industry.

Staff reductions at the Securities and Exchange Commission following the buyouts offered by President Donald Trump 's administration have hit some divisions and locations harder than others, according ...

The private markets fund J.P. Morgan Chase 's asset and wealth management unit launched less than two years ago for individual investors has now passed $1 billion in assets, according to The Wall ...