Independent advisors

Shirl Penney and other firm leaders discussed the firm's ambitions and plans in the M&A market.

With trillions in assets likely to be handed down in coming decades, financial planners shouldn't wait to establish rapport with investors' children.

Some argue the standard-setting organization could be doing more to expel 'bad apples' from the industry.

The policy change is meant to give others in the industry insight into what drives its ethics and compliance decisions.

Captrust went from runner-up in a transaction to buy Column Capital Advisors to stealing the seller's hearts. Here's how a home office visit made all the difference.

Only one state — Minnesota — has so far adopted the new policy.

Some think the firm needs to become better known if it's to reach its growth goals.

Columbia Wealth Advisors consists of roughly 50 advisors and other professionals affiliated with a large regional bank.

The number of wealthy Asian Americans is growing. But most RIAs courting them are missing a key approach, according to one firm that is doing it differently.

The CRPC is a popular sister certification of the CFP. FP spoke with the program's head and with advisors who say it's a must-have credential for retirement planning.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

New research from Fidelity Investments finds that advisors speak highly of independence but lack the knowledge to do it with confidence.

The leaders of the group specializing in serving high net worth families were seeking to run their business entirely on a fiduciary basis.

Planners tout advantages of IRAs, equity investing and delaying retirement for clients worried about inflation.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.

The CEO of the 10-year-old hybrid RIA sees opportunity ahead to scoop up smaller practices in a tougher environment for buyers.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.

Industry recruiters say offers of shares in advisory firms are hard to value.

The Overland Park, Kansas firm's latest acquisition comes right off its deal to buy Goldman Sachs' Personal Financial Management unit this quarter.