A survey of 2,521 workers and retirees conducted in January by the Employee Benefit Research Institute found that, while ...

LPL wants to be able to veto sales involving more than 10% of the RIA to an outside buyer, at a time when private equity shops that have been investing in RIA aggregators are increasingly interested ...

Brand recognition still matters, especially for affluent investors already working with a financial advisor, a new study found. Among this segment, 39% saw affiliation with a "large, national ...

The Department of Labor 's finalized fiduciary rule shouldn't be too burdensome for wealth management firms, but its scope raises questions about the department's authority, said Raymond James Chair ...

Last month, Wealth Enhancement acquired an RIA overseeing $226 million across offices in Florida and New York, and in January the firm announced the acquisition of an Ohio-based practice bringing $136 ...

The Securities and Exchange Commission says it has censured and fined a Minnesota-based investment advisory firm over a violation of the pay-to-play rule.

Raymond James says its Private Client Group, driven by steady advisor recruiting and healthy growth in assets, achieved ...

Meanwhile, Stifel is committed to achieving goals of $1 trillion in client assets and $10 billion in annual revenue in the ...

Friday may not be the end of the bleeding for JPMorgan: Cultural mismatches and a looming deadline for domiciling First ...

Ameriprise Financial is focused on adding "productive" advisors who are a good fit for the firm in the face of a competitive ...

As part of the transactions, whose financial terms weren't disclosed, Monaco Capital and Saling Simms' five advisors will ...

The rule defines fiduciaries as any finance professional who is paid to give advice to retirement plan participants, ...