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 ...

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.

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.

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

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 ...

The value financial advisors bring to their clients extends far beyond the financial, according to a new report.

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 ...

A former broker in California's East Bay area is facing wire fraud and money-laundering charges in connection with an alleged Ponzi scheme that prosecutors say cost dozens of investors millions of ...

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 ...

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, ...

Registered investment advisory firms that merge end up having far lower reported levels of misconduct, and it's likely at the expense of their competition, a new study found.