Independent advisors

With market uncertainty still in the air, annuities continue to break sales records. Advisors say they work for some clients, but not all.

A new report by fintech company Vanilla found what drives clients of all wealth levels, including the wealthiest, when planning their last wishes.

Advisors have until Dec. 3 to opine on proposed revisions to types of misconduct and resulting sanctions.

The team joining Fidelis Capital will specialize in working with wealthy families.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The paperwork of moving client assets in a transition is a chore for many advisors, but crucial to their success.

From boat cruises to wine bottles to equity compensation, here's what successful recruiting for advisors looks like in 2023.

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

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.