'I’ve gone through several mergers in the financial services industry, and I want to be prepared for what the options could be,' said Sam Dedio, an RIA managing $7 million in client assets.

Mercer Advisors wants to acquire five firms by the end of the year. It's on its way with the acquisition of Adam Financial Associates.

Milwaukee-based Hogan Financial Management is the latest firm to join Creative Planning.

CI Financial, one of Canada's largest investment firms, has acquired a majority stake in Phoenix-based Surevest.

Massachusetts Secretary of the Commonwealth William Galvin originally sought public comments on a proposed fiduciary standard in June as a response to the SEC’s passage of Regulation Best Interest.

LPL Financial adds Gatewood Wealth Solutions from Northwestern Mutual to its broker/dealer and corporate RIA platforms.

Interactive Brokers follows up IBKR Lite's September launch with fractional share trading for individual accounts; advisors will get the option in coming weeks.

Thomas M. Bowers was the direct supervisor of Deutsche Managing Director Rosemary T. Vrablic, who has been named as the private banker involved in President Trump's business dealings with the bank.

The investors claim that E*Trade promised to disclose the rate but didn’t disclose that certain securities were being designated hard to borrow until last month, and didn’t disclose what the estimated interest rate would be before trades were placed.