Just over 660 people have had their information compromised due to a data breach on the legacy computer system of registered investment advisor Tufton Capital Management, a firm acquired by Mercer ...

Dealmaking volume in the wealth management space jumped in the third quarter and is likely to continue at its current level or rise next year, according to a new report from PwC.

Financial advisors serving clients who have $20 million or more in investable assets tend to offer a broader set of more complex services, such as private banking, than other advisors, according to a ...

Kingswood Capital Partners is the latest firm to get sanctioned in connection to sales of illiquid alternative assets known as "L bonds" issued by GWG Holdings.

Investment advisors continue running into issues complying with aspects of the recently amended marketing rule having to do with testimonials, endorsements and ratings, according to the Securities and ...