Industry

Commission marks 75th anniversary of Investment Advisers Act, but says there is much work still to do to fully protect investors.

Lee Dana Weiss and his firm Family Endowment Partners face numerous cases from clients as well.

There are three types of advisors when it comes to embracing technology, says the advisor organization: early adopters, those who will follow peer success, and those who wait until the last minute.

The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.

The OAKS Wealth Management Group has a combined $3.2 million in production.

Exclusive: CEO Adam Nash says his firm has no plans to diversify into a business-to-business model.

Paydays are on the rise for advisors and other key personnel in wealth management, according to a recent FA Insight study.

The discussion of what happens to an advisor’s book is parallel to the conversations that advisors should be having with their clients: Prepare for the future and the unexpected, says recruiter Elizabeth McCourt.

"It's like being Superman and Clark Kent," says Michael H. Jacobs, a producing branch manager at RBC.