His death on Wednesday marked a great loss for the RIA industry; he arguably had the biggest impact on who regulates SEC-registered advisors.

Prosectors claim that Richard T. Diver misused his position as manager of M&R Capital Management's payroll and billing to divert about $6 million to his own account.

Pinkerton Private Wealth has been rebranded as FourThought Private Wealth.

The 25-year ETF veteran will be responsible for the research, content and survey work for ETF Trends and ETF Database.

The documentary will follow the work of a California doctor who believes diet and lifestyle changes may slow the progress of the disease.

The retainer-based fee movement is a growing alternative to the AUM-based model.

Biotech billionaire Dr. Phillip Frost claims the merger disregards obligations owed to him as a shareholder of certain notes.

In addition to failing to disclose financial incentives to sell insurance products, investment advisor and radio host Keith Springer also paid internet consultants to suppress online mentions of previous SEC complaints, according to the complaint.

Defections from Royal Alliance/Advisor Group bring a coterie of CFP/CPAs to LPL.