Independent advisors

The broker-dealer group is questioning the Department of Labor's plans to replace a simpler rule adopted by the Trump Administration to determine when workers qualify as direct employees.

With few new advisors coming into the industry but total U.S. assets growing rapidly, Morgan Stanley, Wells Fargo, Merrill and others are having to up their compensation game and distinguish themselves in other ways if they want to capture a larger share of the wealth pie.

Industry group warns that the change to employment status criteria could put up further barriers to Americans' obtaining financial planning services.

For advisors seeking a type of independence that defies industry norms of success, two female CFPs have launched a co-op promising to be a firm of one's own.

Doctors face many personal finance challenges, from hefty student loan debt to temptations to overspend. Experts share how to win them as clients.

Amid high interest rates, publicly traded real estate investment trusts have been pummeled the last two years. Analysts meanwhile think their private cousins are in for further correction.

Converting prospects and leads to actual clients is key to boosting organic growth but can be daunting. Here's three ways to do it better in 2024.

For clients who care about social impact in their portfolios or financial plans, this relatively young designation can help an advisor deliver more value.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

As Angie Herbers looks back on two decades at the consulting firm she founded, she shares how she grew it from nothing and what peers in the industry can learn.

From estate planning to Medicare advice, financial advisors can offer serious value in the coming year.

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.