Industry

The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.

Commonwealth shows off its new logo and new website design.

Leverty Financial Group, a newly formed RIA boasting $400 million in AUM, is the second team recruited from Northwestern Mutual in less than a year.

CI Financial finished acquiring its fifth U.S. firm as it continues its global expansion.

A Morningstar panel also discussed the firm's concerns over the Labor Department's proposed rules on fiduciary exemptions, stressing the importance of clarity in SEC and DOL enforcement.

There's an important difference between 'covering' and 'belonging.'

While some firms slowed growth during the pandemic, RBC's head of recruitment, Kristen Kimmell, landed billions in assets with a net gain in advisors this year that topped rivals.

About 400 new young hires joined BlackRock in July and have never been to the office.

The future advisor gives up geography for market niches and focuses less on investment strategies in favor of better client outcomes, according to a panel at this year's virtual Morningstar Investment Conference.