In recent years, private equity has embedded itself into the registered investment advisor industry through its involvement in scores of mergers and acquisitions, but minority investors and private ...

Registered investment advisory firms that merge end up having far lower reported levels of misconduct, and it's likely at the expense of their competition, a new study found.

Inflated valuations and a shortage of next-generation advisors have made it more difficult for advisors to form succession plans, but being transparent and offering training for potential successors ...

A former broker in California's East Bay area is facing wire fraud and money-laundering charges in connection with an alleged Ponzi scheme that prosecutors say cost dozens of investors millions of ...

Merrill Lynch announced Tuesday it lured a high-producing team of financial advisors from UBS Wealth Management. Summit Financial has added four registered investment advisory firms to its platform, ...

Merrill Lynch announced Tuesday it lured a high-producing team of financial advisors from UBS Wealth Management. Summit Financial has added four registered investment advisory firms to its platform, ...

The trade-secrets dispute between Ameriprise and LPL Financial has taken another turn, as a judge last week rejected a group of current and former LPL advisors who were resisting a court-ordered ...

Mergers and acquisitions activity in the registered investment advisor space tapered off in the second quarter of 2025 but remained sufficiently robust to set the stage for a record year, Echelon ...

Raymond James has lured a financial advisor with 45 years of experience from Stifel. A father-son, father-daughter team overseeing more than $480 million in client assets in Beaumont, Texas, has left ...

Morgan Stanley Wealth Management has rolled out a dollar-cost-averaging feature for clients invested in the firm's Unified Managed Account Program, the wirehouse disclosed in a Form ADV filing this ...

Raymond James has lured a financial advisor with 45 years of experience from Stifel. A father-son, father-daughter team overseeing more than $480 million in client assets in Beaumont, Texas, has left ...

As President Donald Trump reportedly prepares to sign an executive order allowing private market investments in 401 (k) plans, financial advisors are urging retirement savers to get educated and stay ...