Raymond James is having a strong year for advisor recruitment across affiliation models and making further investments to strengthen transition teams, Chief Executive Officer Paul Shoukry said on the ...

UBS could soon face calls to pay out billions of dollars more to the families of Holocaust victims thanks to the efforts of a powerful billionaire who believes the bank didn't pay enough more than 25 ...

The Financial Industry Regulatory Authority has suspended and fined a former Charles Schwab rep in Omaha, Nebraska, over an alleged profit-sharing deal he had with one of his Schwab clients.

Osaic said its latest acquisition expands its services related to succession planning for registered investment advisory firms on its platform.

Ameriprise Financial 's asset and wealth management business saw robust growth in assets and substantial gains in revenue, but profits shrank over the prior year.

A team of veteran Ameriprise financial advisors overseeing more than $2.3 billion have launched their own registered investment advisory firm in New Jersey.

Morgan Stanley Wealth Management has rolled out a dollar-cost-averaging feature for clients invested in the firm's Unified Managed Account Program, the wirehouse disclosed in a Form ADV filing this ...

Raymond James has lured a financial advisor with 45 years of experience from Stifel. A father-son, father-daughter team overseeing more than $480 million in client assets in Beaumont, Texas, has left ...

Inflated valuations and a shortage of next-generation advisors have made it more difficult for advisors to form succession plans, but being transparent and offering training for potential successors ...

Mergers and acquisitions activity in the registered investment advisor space tapered off in the second quarter of 2025 but remained sufficiently robust to set the stage for a record year, Echelon ...

In recent years, private equity has embedded itself into the registered investment advisor industry through its involvement in scores of mergers and acquisitions, but minority investors and private ...

Merrill Lynch announced Tuesday it lured a high-producing team of financial advisors from UBS Wealth Management. Summit Financial has added four registered investment advisory firms to its platform, ...