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United Planners CEO Dave Shindel died during a hunting trip to Colorado in late October.

LPL Financial adds advisor Christopher Sweeney and Hege Financial Group after a robust recruitment in the third quarter.

The SEC filed a complaint against an unregistered advisor that promised investors returns of 20% every 60 days.

Schwab veteran Andy Gill has joined Cetera Financial Group, the Los Angeles-based RIA said Wednesday.

Charles Schwab, Walt Bettinger and Bernie Clark all took part in the presentation, held at the start of the first full day of the annual conference in San Diego.

The aim of WealthManagement.com's annual Ten to Watch list is to create an eclectic list of industry folks who, even if they are known, are doing something new to get ahead of, or in some cases push forward, industry trends.

Praveen Ghanta is co-founder and CEO of HiddenLevers.