Under ERISA-permitted MEPs, advisors can lump small employers into giant plans that battle big firms which is fine til you read the small print

Caught red-handed falsifying official records, the super-producer, who alleged homophobia and defamation at Morgan Stanley, is hit with $15,000 fine and 60-day suspension

Brown criticizes Merrill Lynch for moving cash out of money market accounts into banks; Kitces says RIAs are complicit in something just as bad

But can the CEO of Rockefeller Capital Management, a brand associated with a 19th century robber baron, convince 21st century tech magnates and next-gen middling millionaires to rub shoulders with Rockefellers... and Derek Jeter?

Dupuy was charged with expanding Focus Connections, a program designed to help elite wealth management teams transition from wirehouses to independence

At number two in TAMP ranks, the Concord, Calif.-based TAMP with $46 billion bought Global Financial, whose CEO headed Curian in its growth years and got out well before its death

Since it's launch AE Wealth has been geared to advisors between $10-million and $100-million in assets, but it's now targeting $200 million AUM firms.

The Malvern, Pa. giant risks creating a casino but its clients are expected to stay responsible and use free trades for dollar-cost averaging, rebalancing and harvesting losses for tax purposes

Since Thomas H. Lee's $350 million February purchase of HighTower, the firm has sought ways to separate dealmaking and operational duties, but recruiting goes to outsourcer and M&A goes to Marc Cabezas.

This year the Excellent Adventure crew assembled in Girdwood, Alaska for a trek up the Crow Pass Trail, which meanders through a rain forest inhabited by black bears, grizzly, and moose.

In July, Morningstar published its latest retirement report, and its author David Blanchett poses tough questions, suggesting advisors risk “havoc” when predicting retirement. But the industry claims it's well prepared.

In Envestnet's latest Q2 earnings call, Jud Bergman revealed the transition from SMAs to UMAs will hit Envestnet and third-party asset managers who sell their SMA wares through Envestnet's platform. But UMA efficiencies may drive down costs faster than revenues fall, making the FolioDynamix purchase look shrewder than ever.

Cresset, guided by two savvy venture capitalists. is aiming to build the next-generation multi-family office on an independent, employee- and client-owned platform

Genstar bought a majority share in Cetera in July for a rumored $1.7 billion; now Genstar MD Tony Salewski and ex-LPL President and Cetera CEO Robert Moore have put ramping up the rep count front-and-center in their plans to turn the long-troubled IBD ugly duckling into a market giant at LPL's expense.

The Omaha, Neb.-based software maker just bagged $5-billion AUA OSJ, Independent Advisor Alliance

Since the 5th Circuit Court of Appeals in March struck down the Department of Labor's (DOL)  embattled "fiduciary rule," broker-dealers have been operating with a virtual "get-out-of-jail-free" card

'Everything's up to date in Kansas City, They gone about as fer as they can go;' Giant RIA, Creative Planning Inc., upgrades its Overland Park headquarters to set the stage for more explosive growth

Solomon is the perfect fit for the advent of 'an enlightened wirehouse', but it's the same old Goldman, say experts, with the sly understanding that the phrasing has oxymoronic overtones.

If Vitesse pulls off 'reverse merger,' it can use the cash-cow revenues of the Manhattan-based Crain weekly to fuel string of 'bolt-on acquisitions' in United States

The $1.6-trillion RIA custodian in San Francisco settles SEC lawsuit in a day by paying a $2.8 million fine in a case meant to be a 'shot across the bow' of custodians and RIAs, say analysts

ScratchWorks picked Jacqueline Ko Matthews' InvestmentPod to improve advisor productivity by 60% but it's still just 'potential,' says Bicknell; Good potential