News

Once again, the DOL could put the employment status of independent broker/dealers in jeopardy. FSI President Dale Brown questioned whether the department gave enough attention to feedback from the industry when formulating the proposal.

The St. Louis–based firm launches its fourth location in four years.

Seventeen-member team departs Robert W. Baird & Co. to take advantage of Raymond James' employee advisor platform.

The joint venture aims to facilitate transferability and consolidation of accounts while fueling the convergence of wealth and retirement at work.

Jasper Lau has gained backing from almost two-dozen of the world's super-rich since co-founding venture firm 8090 Partners.

The billionaire investor has turned from high-stakes trading to professional baseball and is pressing his advantage by spending big to win.

Beverly Hills, Calif.–based RIA Beverly Hills Private Wealth, launched Friday by a $1 billion Merrill Lynch breakaway team, has chosen Goldman Sachs Advisor Solutions as its sole custodian.

New Jersey-based Alex Guiliano, founder of Resonate Wealth Partners, left Merrill Lynch to join LPL under the IBD’s Strategic Wealth Services division.