Independent advisors

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

Drop that Excel spreadsheet. Here’s why your business plan should fit on just one page ... in Word.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.

Every man in the financial services industry should read this article, Nina O’Neal writes.

Forty-one percent of client-facing finance workers have had negative experiences that “still keep them up at night,” a Schwab survey finds.

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Wealth Enhancement Group has nearly doubled its assets over a two-year period.

The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.

The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.

The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.