The deal could be the first of several in the lead-gen, referral and marketing space that seeks to add reviews and ratings tech.

All of CI Private Wealth's offices will now operate as Corient, the brand of one of its acquired firms. CI wants to integrate all of its acquisitions into one RIA.

John Woods already pleaded guilty to federal charges that he raised more than $110 million in a Ponzi scheme. Plaintiffs in a suit against Oppenheimer & Co. claim the firm failed to protect his clients.

Burney Company, a Virginia-based RIA with $2.4 billion in assets, has added Goldman Sachs Advisor Solutions’ custodial service to expand access to alternative investments.

A large body of evidence demonstrates that market forecasts from 'gurus' have no value in terms of adding alpha.

The majority investment will be used to launch an equity ownership program and beef up RFG’s talent across multiple functions.

It may be the first year in nearly a decade that the RIA market doesn’t break records, but industry trackers expect it will remain heated as private equity, new players and synergistic opportunities abound.

According to the commission, Clarice Saw liquidated the securities of her 87-year old client without his knowledge when he was hospitalized.

A lot can be learned listening to clients’ experiences with financial advisors—good and bad. We talked to Andrea Mac, founder of Prequal, a revenue consultancy for salespeople and female company founders based in suburban Chicago.