The deal brings Advisor Group considerable scale in the financial institution market and a more dedicated channel for those advisors.

Focus Firm XML Financial Group lures Samson Wealth from Wells Fargo's FiNet.

The SEC chair told the House Appropriations Committee he would use the additional funds to keep pace with growing number of RIAs, scrutinize broker/dealers' Reg BI compliance, and get back to in-person examinations.

Allianz was banned for a decade from some fund services in the United States.

Mariner Wealth Advisors continues 2022 growth trajectory with second Detroit-area acquisition and new senior VP Jennifer Hanau.

Nathan Carman allegedly plotted a decade-long scheme to access millions.

Verdence Capital Advisors’ new turnkey investment unit seeks to provide research and investment options for growth-minded RIAs.

The high percentage of blank responses in a section of Form ADV related to the SEC's new marketing rule could indicate that RIAs are still grappling with how to comply with the regulation, according to a new analysis from IndyFin.

Financial Services Institute CEO Dale Brown opposes the DOL decision, arguing the rule offers 'much-needed certainty' for advisors who opted to be independent contractors.