According to Secretary of the Commonwealth William Galvin, the broker made an excessive number of trades in order to boost commission fees while blaming account rebalancing and market performance.

Allworth Financial announced Tuesday that it has acquired RAA, a Dallas-based RIA with $2.8 billion in assets.

HighTower's fourth acquisition this year is the West Coast-based RIA Schultz Collins.

The acquisition of NorthView Asset Management is another step in an active year for Sanctuary Wealth, which has added $3 billion in managed assets since June.

The good old days of charging 1% solely for a portfolio of mutual funds are officially over, and that's good news for the right type of advisor, says First Ascent Asset Management's Scott MacKillop.

Chris Benda will join the firm that was founded eight decades ago to address the financial services needs of farmers and ranchers, and now serves clients in 14 Western and Midwestern states.

Attract a generation of diverse advisors and build them into leaders.

Three factors that may determine where the industry is going.

Ken Fisher is suffering an intensifying backlash from his remarks on Oct. 8 in which he spoke about genitalia and then failed to immediately understand the gravity of his words.

KMS has recruited $600 million in assets since the beginning of the summer.