Raymond James Financial told investors Wednesday that money in its fee-based wealth management accounts rose to a record $483.1 billion in August.

Flush with Silicon Valley cash, Vise is building out its executive and advisory teams.

Advisor Diana Behre says she was fired after revealing her Chapter 7 filing to her employer.

The Securities and Exchange Commission said the changes would modernize the rules and balance concerns of shareholder proponents and other shareholders, while critics claimed the rule would help CEOs skirt corporate accountability.

LPL advisor EJ Pipkin survived a massive heart attack due to the quick response of his colleagues.

First Affirmative Financial Network, the $1 billion AUM Colorado RIA that Goldman Sachs picked up in its deal for Folio Financial, was spun off this week.

Merchant Investment Management said it has taken a minority stake in Newport Beach, Calif.-based RIA Corient Capital Partners, which boasts $3.1 billion in AUM.

WEG hires two new executives to iterate on and improve technology and operations.

The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.