Testing for cybersecurity also increased this year, with advertising and privacy also considered important compliance topics, according to the survey from the Investment Adviser Association and ACA Compliance Group.

The private equity firm has hired Raymond James to advise, according to published reports.

The demise of the human advisor has been greatly exaggerated.

Bank of America Corp.’s Cathy Bessant is among executives who remain in talks with Wells Fargo.

Penny Pennington has ambitious growth plans for the nearly 100-year-old brokerage.

Advisors at the Medford, N.Y.-based Suffolk Wealth Management will be joining LPL from CUNA Brokerage Services.

Genstar, which owns a majority stake in the RIA, hired Goldman Sachs to advise on the sale, the same team that advised Kestra on its sale to Warburg Pincus.

The latest iteration of Succession Link will offer compatibility ratings and other features to expedite the M&A process for potential buyers and sellers.

The final plan details the purpose and functions of the OneFPA Advisory Council as well as the key performance indicators for the organization and its chapters.

Dan Timm, one of Edward Jones' most senior and longstanding employees, is retiring from the company after 36 years.