Co-head of wealth management Andy Saperstein pointed to a new financial planning program as a way for brokers to capture a bigger share of clients' assets.
It's the second university to get a complete dismissal, but lawyers say it's too early to tell if this is a harbinger for pending cases.
Family offices are increasingly common for the ultra-wealthy to manage their fortunes and take care of their personal needs.
The SEC initiative seeks to raise standards and let investors understand the motivations of their adviser, without limiting choice.
55 million American workers without a workplace plan must have the opportunity to get that coverage and start investing. They aren't doing it on their own.
Chairman Jay Clayton says proposal would increase investors' access to research.
Four-adviser team in Sarasota, Fla., moves with its two assistants.
The $100 million stock offering will fine-tune RIA valuations.
CEO Daniel Bryant: 'It's a logical next step for us. This has always been our intention, regardless of what IFP is doing.'
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
SEC alleged that Perry Gruss abetted cash moves at defunct D.B. Zwirn.
The elimination of the deduction for alimony payments calls into question existing prenuptial agreements.
The RIA aggregator, founded by CEO Ruediger 'Rudy' Adolf (above), has partnered with more than 50 registered investment adviser firms.
He's pursuing an aggressive growth strategy and learning from past mistakes.
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
Says firm was negligent in case involving energy stock selection.
Four-person Undivided Wealth Management is based in St. Louis.
Workarounds to avoid federal limits on state and local taxes in some states could be considered tax evasion.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
