Firm is boosting adviser payout to compensate for increased office expenses and investing savings in enahcements such as new technology.
Jurisdiction is shared between the SEC, Finra and state insurance commissioners. Will any of them step in?
The firm remains tight-lipped about how many investors were affected.
A change in auditors can be perceived as a red flag by many investors.
Two weeks ago, public was told he was leaving top job at HD Vest after less than two years to spend time with family.
Former Labor Department assistant secretary and mother of the DOL fiduciary rule signs on with largest registered investment adviser.
Firm wants to help brokers shifting to fee-only business, and compete with custodians such as Schwab in technology and practice management.
Late-life planning will grow more important for advisers as clients increasingly live into their 90s and 100s.
The purchase, which will become effective at the start of 2019, is Mariner's first venture into Houston.
Program hopes to give advisers a fully digital client experience on par with robos.
Access to clients through E*Trade's 30 branch offices drew the attention of RIA Edelman Financial Engines.
CEO Rudy Adolf defends business model during earnings call; shares drop 12%.
The founder of Ritholtz Wealth Management dares to argue for the additive value of the financial system.
Financial Services & Investment Strategies Group says the move will help reshape and rejuvenate its business.
Complete rollovers, take care of qualified charitable distributions and be sure that all funds related to a lump-sum distribution have been withdrawn.
Mercer stands out as an aggressive buyer of RIAs, having done more than a dozen deals in two years.
Former assistant secretary of labor says the best way to help investors is with a common advice rule.
Broker-dealer returns to investors the nearly $900,000 it gained by placing clients in higher-cost funds.
Small Business Administration loans require that the seller departs the practice entirely within 12 months of closing.
