LPL Financial is facing a class-action lawsuit that could test whether advisors have an ongoing duty to warn clients when an insurance company behind an annuity begins to deteriorate. Plaintiff Kerry ...

Advisors looking to win over clients who have parted ways with their previous advisors should quickly get past why things did not work out and move on to understanding how they can build a ...

Retirement income planning has long played second fiddle to accumulation, but Vanguard is now making the case to investors that the harder, more consequential work begins the day the paycheck stops.

Global investment firm Carlyle has completed its majority stake acquisition of MAI Capital Management, which values the Cleveland-based RIA at more than $2.8 billion. The deal, which was announced in ...

Investors ditched technology stocks in favor of the so-called “old economy” on Thursday as Broadcom Inc.’s earnings report pumped the brakes on the artificial-intelligence rally. The Nasdaq-100 Index ...

Family office and ultra-high-net-worth firm Pathstone has acquired Mill Creek Capital Advisors, a Philadelphia-area independent RIA with roughly $12 billion in assets and 450 client relationships, the ...

Cliffwater LLC’s flagship private credit fund capped redemptions at 5% in the second quarter after investors looked to pull about 17% of shares, in a sign of enduring pressure on the $1.8 trillion ...

Billionaire investor Ray Dalio delivered a stark dual warning Wednesday, telling Bloomberg Television U.S. equity markets were nearing bubble territory last seen before two of history’s worst ...

Almost half of Americans rely on their parents for financial support, including 33% of Gen X, as inflation and a volatile stock market strain household finances. According to a report from ...

Mariner has deepened its presence in California with the acquisition of Wealth Conscious Management, a Los Angeles -based firm that manages about $320 million in assets. The deal gives the Overland ...

A barred Oregon-based advisor faces five years in prison after pleading guilty to stealing stock shares as part of an investment fraud that caused investors to lose $1.6 million. Jeffrey Thomas ...

Perhaps one should avoid the temptation to use house metaphors when describing something like an RIA business. And yet. Like your house, your advisory firm has likely got a lot of your personal stake ...