Opponents and advocates of the regulation have been waiting for months for the Fifth Circuit Court of Appeals in New Orleans to issue its opinion.
A digital transformation is taking root in the industry, and it's benefiting clients and advisers alike.
Ashton Thomas Private Wealth in Scottsdale, Ariz., will see a near-50% increase in assets under management to $730 million through a partnership with Tucson-based Financial Architects.
Five deals this month already beats last year's quarterly consolidation pace.
Broker Collin Rigler and associate Eric Montijo based in Los Angeles.
Retirement market is increasingly consolidating, among advisory firms and record keepers.
Financial advisers who've lost loved ones to drugs are responding as forces of positive change.
Advisors Southeastern Alliance was affiliated with INVEST Financial.
Focus Financial partner firm has done seven deals since 2011.
Larry Boggs exercised discretion in five accounts without written authorization.
Broker David Lloyd Barber and Madison Avenue Securities to pay all fees, costs.
Policy tailwinds and economic drivers appear poised to give a shot to the earnings of smaller, mid-cap brokers and electronic trading firms, Nomura's Steven Chubak says.
Clients can claim benefits even if earnings exceed annual limit.
In 2018 exam priorities, regulator says not to sell clients high-fee products and then move them into advisory accounts.
Health savings accounts are an investment planning opportunity, given most of their $45 billion sits in cash.
The judge said the adviser erred in recommending a lump-sum distribution, but barred plaintiffs from recovery because they were also negligent.
Most say it will be tame; but predicting it is 'murderously hard.'
It looks like the SEC will not require financial advisers to avoid or mitigate material conflicts, merely disclose them.
Any positive effects are unlikely to last, and will contribute to greater budget deficits over the next 10 years.
Better than expected year-end manufacturing and private payrolls data in U.S. fuel bets that growth and tax breaks will buttress earnings.
