Independent advisors

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The deal follows several others in the past 12 months and reflects growing demand for retirement plan services to small businesses, Edelman said.

The deal, which gives Captrust its first office in the Pacific Northwest, reflects the growing power of firms like it on a national level. Here's how it happened.

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

AAPI financial advisors are underrepresented in the industry and still sometimes feel unseen even within conversations about DEI, industry experts say.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

Christopher Turean admitted to moving money out of a customer's account to place bets on DraftKings and FanDuel.

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

Mammini Company moves business specializing in working with unions and corporate retirement plans away from Lincoln Investment.

Americans live in a culture where money talks are taboo, but advisors can help clients overcome that and preserve generational wealth during the holidays.

From hot apple cider to sporting tickets, going beyond a bulk thank-you email to clients can pay off big for advisors.

Pondering her firm's future on walks during the pandemic, the founder of an independent RIA decided she needed a bigger partner.

Firm CEO sees benefits in acquisitions rather than recruiting, in part because they allow for "client continuity."

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

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.