Independent advisors

The $2.6 billion Miami firm is the largest independent advisor yet to take advantage of the U.S. territory’s incentives.

From ultrarich to moderately wealthy, investors looking for outsized gains are being told to buy into the professional funds. There are risks.

But a recruiting expert says advisor independence comes with its own set of challenges.

Large pockets of the financial planning and wealth management industries have gone back to “business as usual” post-George Floyd.

The firm “has barely scratched the surface” of selling its technology to independent financial advisors and brokers.

As private equity muscles into wealth management's fastest growing niche, it's injecting Wall Street business practices into financial planning.

The 15-year veteran advisor explains how she identified and built her practice’s base of clients.

Consolidation, an aging broker workforce, pivots by advisors away from Wall Street wirehouses and a move to fee-based services are driving the slow but steady trend.

Rather than look for an exit, the network of fee-only planners needs additional funding for new services, new technology.

The wealthtech’s strategy is backed by a survey on what fundamentally drives financial advisors and their clients.

At the IMPACT 2021 conference, CEO Walt Bettinger and head of advisor services Bernie Clark shared plans to grow the firm’s market share of independent advisors.

While every firm has unique needs, there are several common paths to take.

An ex-executive with a firm acquired by the network three years earlier will lead FSC Securities as it seeks to grow in a competitive industry.

Some independent advisors worry the enterprise deal will slow innovation at the wealthtech company.

The move can help firms reach smaller investors and offer greater portfolio customization, the custodian says, joining peers in offering the share slices.

Whether it’s picking a securities attorney or finding a partner that can provide the service and support you need to transition, due diligence is key.

Form CRS was supposed to clear things up, but it’s made things worse, a fiduciary critic says.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

Fighting among Democratic lawmakers over proposed hikes in individual and capital gains taxes is intensifying, creating more questions and opportunities for advisors.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.