The addition of Knowlton, Knowlton, & Larsen creates Rockefeller’s first private wealth team in Boston.

The group is joining other plaintiffs in a suit filed in a Texas federal court, with CEO and President Dale Brown claiming the DOL's decision was 'hasty and arbitrary' and would be detrimental to independent financial advisors.

The mergers, acquisitions and deals you may have missed the week of May 10, 2021.

The Dallas-Fort Worth outpost will accommodate financial advisers and tech-support staff.

Knight Nguyen Investments raised at least $3.7 million from a number of advisory clients and retail investors for high-risk and fraudulent securities offerings, according to the SEC.

Goldman Sachs has been quietly building RIA custodial services behind the scenes, with big-name hires and plenty of resources; but can it overcome its Wall Street heritage to appeal to independent advisors?

Legal issues related to hiring—and firing—advisors are becoming more commonplace, says RIA counselor Brian Hamburger.

Matthew Clason faces as long as 20 years in prison after stealing more than $600,000 from an unnamed investor for his personal use, including paying for his personal credit card, according to the DOJ.

Mark Lisser and Knightsbridge Private Partners ran boiler rooms to fraudulently sell pre-IPO shares of companies, according to federal regulators.