A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage analysis.

PE money eviscerates an RIA's client-first culture, leading to advisor burnout and turnover.

RIA leaders are debating "digital employees" but expect service models to expand to meet growing HNW needs, says industry observer Ric Edelman.

As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.

The industry asked for and received a delay in the rule from the IRS in 2023. Now that it's going into effect, here are the key implications for sponsors and savers.

Pivoting from "this company will always be mine" to "I need to find a partner who can help me maintain continuity" is a necessary mindset shift for advisors making continuity plans.

Financial Planning announces its 2026 class of the top 40 most productive employee wealth management brokers under the age of 40.

As independent brokerages compete for advisors, some offer larger payouts.

The growth of CFP Board-registered programs, from certificates to doctoral programs, reflects the industry's shift away from commission-based models.