Some retirees can receive up to six months of back benefits.
RIA sellers want a buyer that has a brand and vision that align with their own, as well as a strategy to integrate and grow the business.
Steinberg Global Asset Management brings Colony's AUM to $7 billion
Acquisition would be in line with trend of record keepers seeking to gain scale to combat fee reduction.
A Kitces blog post implying potential fraud and embezzlement triggers a biting FPA response.
Three-adviser Gardner Wallace Financial Solutions is based in Addison, Texas.
Andrew Graham launches Jackson Square Capital in San Francisco.
Boston-based advisers leave Northwestern Mutual for firm overseen by PAG.
Damage from scandals is forcing bank to develop new ways to motivate staff while spending more on compliance.
The independent broker-dealer had $233.3 million in recruiting loans on its books, a 46% increase over 2017.
Investment Management director Dalia Blass says current rule disconnected from way world works.
From my standpoint, the education such colleges and universities provide is different, not better.
Sales broke a record last year despite rules that observers believed would slow them down.
Transaction leaves two big players in the market for financial planning software, Envestnet MoneyGuide and Fidelity's eMoney.
Gregory Stevens and Vince Spires join employee unit in Ocala, Fla.
Texas financial adviser claims'false allegations' by New York Times, CNN, Turner Broadcasting and Democratic National Committee 'upended' his life and business
SkyView Partners says 16 banks currently have access to online marketplace.
He received $2.4 million in salary and $14 million of restricted stock linked to performance goals.
At subcommittee hearing Thursday, congress members express concerns about investor protection under agency's advice reform proposal.
Insurers may turn to direct-to-consumer sales only, bypassing brokers and insurance agents.
