Independent advisors

The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.

It's not about working longer hours, living in an urban area or being older.

Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.

Advisors and brokers rarely put up fights when a former employer comes for loan paybacks as successes are few and far between.

CG Advisory Network's move comes less than a month before the transition of clients from TD Ameritrade is scheduled to take place.

Matchmaking services offer the promise of lead generation without the hassle of cold calling. But do they deliver?

The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.

The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The author learned fast that running an OSJ has little overlap with operating a fully independent, multicustodial firm.

The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

The giant asset manager and its rivals like Vanguard and Schwab are all benefiting from offering advisors funds bundled into ready-made strategies.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

Among the respondents who work with financial planners, about 7 out of 10 said they have high hopes for 2023. For those without planners, the figure fell to 42%.

The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.

Even with the overall decline in people seeking financial advice, the number of investors wanting help specifically with asset management is on the rise.

The number of ultrarich families is growing, and so are their demands on advisors. Schwab moderated a panel on how RIAs can succeed with these clients.

The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.