Diana Britton

At a time when smaller broker/dealers are closing down, IFP is on a reverse course, registering its own brokerage with only a couple hundred advisors so far. But the economics are beginning to make more sense, and the...

The firm has recruited about 200 of the 460 producing advisors it started with when the process began a year ago, promising equity ownership, reduced administrative fees and a tech stack built from scratch.

If adopted in any given jurisdiction, the rule would require state-registered investment advisors to develop physical security and cybersecurity policies and procedures.

Institutional asset manager LaSalle Investment Management is launching a closed-end fund on Artivest’s alternatives platform.

The investment bank has been quietly building out a retail wealth management strategy. The acquisition of United Capital, for $750 million in cash, turns up the volume and announces its position as a major player in...

Based on back-testing, firms that FINRA has identified through a new rule proposal presented higher risk of future misconduct events.

The State Treasurer from Oregon, the first state to roll out a mandatory retirement plan, says individuals should be able to save for retirement as early as 16 years of age.