A Houston-based registered investment advisory firm and two of its financial advisors are on the hook for millions of dollars over allegations that they caused a customer to miss out on huge gains in ...

A version of this story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

Though most wealthy investors prefer fee-based financial planning to a commission-based approach or a no-fee platform, wealth management firms should still ensure they can meet the needs of investors ...

UBS Faces Squeeze as Swiss Regulator Proposes Tighter Capital Rules ...

A bogus investment advisor charged five years ago with fleecing investors out of millions of dollars in a Ponzi scheme has been sentenced to three years in prison.

Envestnet has unveiled two new artificial-intelligence tools for financial advisors that the company says will help them operate more efficiently.

The Securities and Exchange Commission 's Investor Advisory Committee on Thursday voted to recommend new rules regarding the regulation of pre-dispute arbitration clauses used by registered investment ...

The registered investment advisory space has grown "tremendously" over the past quarter of a century, evolving to better serve clients and reach new ones, according to an annual snapshot report ...

Wells Fargo has cleared the last hurdle imposed on it by regulators over the past decade, largely in connection with the firm's infamous bogus accounts scandal.

Envestnet has bolstered its support of registered investment advisory firms with the addition of an executive from Atria Wealth Solutions. Raymond James has added a former LPL Financial advisor to a ...

A father-son financial advisor duo has initiated the latest legal battle in the ongoing war between Morgan Stanley and financial advisors who say the wirehouse refused to pay them money they were owed ...

New restrictions expected to be proposed in Switzerland this week may undermine the efforts of Swiss-based UBS to expand its footprint in the United States, according to news reports.