RIAs

Larry Sprung wasn't looking for love (authors), but he wound up finding a great set of clients.

The choice of buyer and the price get the most attention, but a possible merger of equals and the technology side of the transition could loom large in the strategy.

The Swiss wealth management giant says many of its U.S. clients now "largely rely on other banks for their everyday banking needs."

Wells Fargo also pulls from Merrill and Raymond James again from Commonwealth, while AlphaCore buys up a big RIA and the FPA gets a new CEO.

Industry compliance experts say there are few more complicated decisions than knowing when to leave a firm and start your own advisory practice. The government shutdown is making it worse.

Much like deciding the right client headcount, choosing whether to fire a customer or turn away new business represents an important step in a firm's development.

Dynasty Financial Partners' investment bank joins Diamond Consultants to help departing teams vet transition options, whether that's joining another wirehouse, selling to an RIA aggregator or starting their own business.

Step away from the rote 30-second spiel. Instead, forge connections with advisory prospects based on trust, not tactics.

The wirehouse leaves its basic paygrid untouched for the fifth year in a row while giving advisors extra incentives to tout banking products and work with existing clients' children and grandchildren.

The awards recognize early-career brokers that have created top production numbers at their wealth management firms.