Focus Financial shareholders voted overwhelmingly to approve a take-private sale to private equity firm CD&R but were less enthusiastic about executive compensation.

Only a small fraction of firms have increased their use of client testimonials and endorsements in the wake of the SEC’s updated marketing rules, according to a recent Investment Adviser Association survey.

A Michigan jury deemed a handwritten document found in between Aretha’s couch cushions a valid will.

Beyond Hightower's expansion, no less than five other deals were announced this week along with a handful of RIA executive moves.

Advisors Jerry Kanter and Scott Mason are leaving Securian after more than 30 years with the broker/dealer, in the wake of its planned acquisition by Cetera.