The firm’s proprietary technology enables it to “iterate exceedingly fast,” according to Chief Executive Officer Jamie Price.

Wells Fargo is on the hook for more than $1.4 million to a financial advisor it fired two years ago. Harry Pappas, Jr., who's been in the financial services industry since 1985, joined Wells Fargo ...

Forty-eight percent of Americans don't hold any investments in stocks, bonds or mutual funds, Janus Henderson found in a survey of 5,010 Americans aged 18 and up. The survey was fielded June 28 to ...

Last week, the arbitrators ordered Stifel to pay the Delucas a total of more than $4 million in compensatory damages, which included interest, as well as $9 million in punitive damages, $1.1 million ...

Commonwealth has also added UMA capabilities to PPS Select, "giving advisors "the ability to allocate as a manager of portfolios," Essele told the audience. UMAs "offer a truly personalized investment ...

Rick Wurster plans to follow the course set by current CEO Walt Bettinger, which includes boosting lucrative services such as financial advice and loans, per The Wall Street Journal.

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 ...

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 ...

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 ...