As RIA M&A activity returned to normal over the past few months, small firms are seeing higher valuations while sellers are pushing for deals to get signed before a possible Biden presidency

Catchy slogans are not only no substitute for critical analysis, they are often wrong.

NASAA's annual enforcement survey found a 23% jump in investigations and a 33% increase in enforcement actions in 2019.

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.