The biggest driver of change in the RIA space is technology, cited by 43% of advisors, well ahead of regulation, cited by 22%; clients, cited by 18%; and the advisors themselves, cited by 17% as the ...

Edward Jones, which has long focused on serving a core of mass affluent clients, is piloting more capabilities for its 19,500 or so advisors to serve high-net-worth clients, according to Managing ...

The class-A shares came with up-front sales charges and annual fees, while the class-C shares had no up-front sales charges but higher annual fees than the class-A shares for the first decade, after ...

Elevation Point, led by Jim Dickson, is another example of an effort to contribute to minority stakes in select RIAs. Dickson, the former chief executive officer of Sanctuary Wealth, told FA-IQ in ...

JPMorgan Chase Chief Executive Officer Jamie Dimon has not endorsed Republican presidential nominee Donald Trump, according to news reports.

Wells Fargo is facing a lawsuit from one of its former financial advisors, who accuses the firm of luring him from Merrill Lynch with false promises and then mishandling his transition to an extent ...

SEC Chair Gary Gensler has defended his rulemaking agenda, saying it's aimed at protecting investors and creating greater transparency in sectors such as the $30 trillion private fund space, as ...

Ameriprise Financial Senior Vice President of Business Development and Experienced Advisor Recruiting Manish Dave has ...

Rohn is now suing Edward Jones, taking issue with the company's policy of forcing advisors to pay client fees when client ...

Carlos Leston, of Maywood, New Jersey, joined the financial services industry in 1998 and moved to LPL in 2008, according to ...