Wells Fargo continues its push to bring advisors to its independent contractor channel with an 11-person advisor team based in Indianapolis that has broken away from Ameriprise. Managing partners ...

Marshberry, an Ohio-based M&A consultancy active in the insurance and wealth management sectors, is slated to become part of investment bank and advisory Lincoln International. Chicago-based Lincoln ...

Cerity Partners’ latest deal plants a flag in New York’s Capital Region with the acquisition of Graypoint, an Albany-based $4.5 billion firm. As a part of the deal, President and CEO Daniel Nolan will ...

Alternative investment platform iCapital formed a strategic partnership and announced an investment in Tangible Markets Ltd., a firm that focuses on providing liquidity for private market investments, ...

Raymond James has filed a lawsuit against the husband of an advisor, who passed away suddenly in March, for refusing to return her company laptop and sending letters to clients soliciting them on ...

The U.S. Department of Labor has sided with Morgan Stanley and several FINRA arbitration decisions in a dispute over whether its deferred compensation program should be treated like a pension or a ...

An Ohio federal court has dismissed a complaint brought by mega-RIA Mariner Wealth Advisor against upstart Savvy Advisors for allegations of poaching advisors without “regard to contractual obligation ...

Modern Wealth Management, a $10 billion registered investment advisor based in Monterey, Calif., has acquired Public Safety Financial/Galloway, a firm that works with police officers, firefighters, ...

A Florida-based brokerage firm will pay $500,000 to settle Financial Industry Regulatory Authority allegations it didn’t retain more than 10,000 business-related text messages over 10 years. The ...

Long Beach, Calif.-based RIA firm Halbert Hargrove has existed since the Great Depression and has seen every kind of market cycle since its founding in 1933. Its focus, according to co-CIO Brian ...

The short-term borrowing rate is at its highest level since January 2008 after the Federal Reserve raised its key rate by another 0.75 points to a target range of 3.75 percent to 4.00 percent. The ...

Morningstar this week announced the retirement of its Office platform product for advisors and a partnership with SS&C Black Diamond. Black Diamond will deeply integrate with Morningstar’s new Direct ...