Practice

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

Emotion-driven decisions may result in portfolios that retirees find palatable, but they are also likely to result in lower returns.

The wirehouse had held back on finalizing some aspects of its fiduciary implementation plan until the rule's fate was clearer.

Your current superstar employees hold the secrets to making future crucial hires, says planner Kelli Cruz.

For the first time in his 30-year career, columnist Bob Veres is starting to hope the sector may catch up in the areas of trust, transparency and a fiduciary mindset. A promising new app is helping him get there.

KeyCorp acquired the personal financial management tool for an undisclosed sum.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.

The investor received 15 months in prison after pleading guilty to wire fraud.

See which independent broker-dealers outpaced their peers at the top line.

The DoL’s fiduciary rule means advisers can expect additional scrutiny over fees. So how can they prepare for these industry changes?