Independent broker-dealer added $25m in Q1 revenue after $170m recruitment year.
Hear how top advisors are rethinking practice management with smarter technology, dynamic planning, and scalable systems that free up more time for personalized advice.
The numbers matter less than you think. In volatile markets, the advisor who shows up, listens, and stays calm will outlast the one who just manages portfolios
The broker-dealer giant's newest C-suite hire brings 30 years of enterprise technology leadership, including time at Fidelity, to its expanding AI agenda.
One upbeat line in a proxy filing was all it took.
He warned regulators in 2011 - two years before the scandal hit the headlines.
A new analysis finds Social Security insolvency would trigger automatic benefit cuts nationwide with ripple effects for retirees, local economies and advisers.
Third Delaware ruling on the deal - and Shari Redstone's role is back in frame.
Merrill has also extended its ranks in California with a $450 million team from Morgan Stanley, while Raymond James adds a seasoned Edward Jones advisor to its independent channel.
Platform move gives retirement savers access to professionally managed products in one place.
No investor losses? The SEC can still claw back every dollar of profit.
Plus, Well Fargo hails May recruitment haul totaling more than $3 billion in assets, while UBS recruits a top advisor and women's champion from Lazard.
Robinhood’s invite-only Concierge unit now serves about 60,000 high-net-worth clients with CFP access, tax planning, and estate planning resources as the retail brokerage expands further into wealth management.
The two wealthtech platforms name new C-level executives as AI-native strategy and private markets growth accelerate across the advice industry
Franklin Resources' fixed-income unit settles SEC charges and closes firm-level DOJ and regulatory probes, but Kenneth Leech's criminal case continues.
“Wall Street is building dynamite and charging clients a fortune when they buy it,” one executive said.
Beyond rising client demand, firms and advisors with a focus on delivering tax alpha are in a better position to compete and thrive in the face of growing industry challenges.
Brokerages roll out real-time risk frameworks as $25,000 equity barrier falls after 25 years.
Some advisors are focused on moving assets. The families who trust us are worried about something far more important
While most women investors trust their advisors, new research points to “mansplaining” and other barriers that could undermine client relationships.
