Industry

If advisors answer these 4 questions correctly, they’ll be in good shape to start an independent firm, says Fidelity’s Bob Oros.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

Advisors can provide valuable services when clients go through the process—and still get paid.

Former Merrill Lynch advisors launch a new office with IHT Wealth Management.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.

Lightyear Chief Executive Donald Marron is getting a second chance to purchase the insurer's broker-dealer arm.

With regulatory scrutiny on the rise, Ann Limberg, U.S. Trust's head of philanthropic solutions and the family office, discusses her firm's approach to clients' charitable giving.

Our annual Top 50 was based on a combination of performance metrics. We've reshuffled the deck to list them based solely on fee business.

Even as independent advisors rush to comply with new laws, they are also being urged to implement innovative digital tools. Here’s how successful firms are managing to do both—cost effectively.