Do Solo Advisors Have a Future? The industry has largely moved to a team model, but some advisors may finish out their careers as 'bachelors,' says John Taft, CEO of RBC's U.S. wealth management division.
RIA Leaders: Top 20 Firms for 2015 Over the years, Financial Planning has been striving to make the annual RIA Leaders list ever more rigorous, weeding out advisory firms that take commission, have registered reps, are owned by big stakeholders. This years ranking calls out the most successful independent, fee-only players who have been able to say no to the big offers -- at least so far.
The megabank's commitment to its branches stands out in an industry where customers are shifting more of their banking activity to mobile devices and PCs, and where banks take an increasingly ruthless look at branch performance numbers. more »
Top official says the industry regulator is combing through hundreds of comment letters on controversial broker data-reporting rules, vowing close consideration of privacy and security concerns. more »