Dan Shaw

An industry recruiter notes that many wealth managers who switch firms receive money from their new employer to cover forfeited deferred compensation.

Survey results suggest alternative investments like private equity and private credit are already popular among advisors and becoming only more popular.

Recent research may suggest private credit doesn't produce great returns after fees and risks are taken into account, but wealth managers still see a case for using it and other alternatives to move beyond the 60-40 portfolio.

The founder of the private-equity backed RIA says he's interested in further acquisitions but doesn't want to be "growing for growth's sake."

Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.

Sources familiar with the case say Nicholas Takahashi's name surfaced on a Wells Fargo website long after he had left to work for a competitor.

Like its Wall Street rival Morgan Stanley, Citi sees a path to trillions in client assets in its workplace division.

The deal comes as a Raymond James executive questions if advisors who choose to go with private owners won't regret their decisions in three to five years.

New CEO Ted Pick sees little need to change the "wealth management machine" his predecessor helped bring to "escape velocity."

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.