Information on The List was supplied by S&P Global Market Intelligence and could not be independently verified by the St. Louis Business Journal. Data is based on X-17 Focus reports filed with the U.S ...

Each year, the team here at Financial Planning analyzes wealth management data from dozens of angles to shine light on the state of the industry. Over the last year, we have ranked registered ...

The independent broker-dealer channel has emerged as a leading force in the US wealth management industry, outpacing other channels in advisor-managed asset growth and reshaping the competitive ...

A new working group of state and federal regulators, along with brokerage firms, will look at unreasonable account transfer fees and other “service” charges broker-dealers levy on customers. Officials ...

On December 20, 2024, the Securities and Exchange Commission (SEC) issued a final rule amending SEC rules 15c3-3 (the customer protection rule) and 15c3-1 (the net capital rule). The SEC also amended ...