Independent advisors

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.

A financial advisor in North Carolina is looking for a fee-only advisor to offer an advice-only model for his own family. Is this a good idea? If so, what are the considerations?

A look at which firms had the biggest loan balances and revenue numbers and the relationship between the two.

Firms that haven't been afraid of generous recruiting offers have shown the greatest growth in recent years.

A federal judge agrees with plaintiffs that the Federal Trade Commission lacks authority to set rules on unfair competition.

With rate cuts still on the horizon, some advisors wonder if it's time to look for returns beyond high-yield savings and money market accounts.

The Atlanta-based independent broker-dealer thinks some advisors will always feel ill at ease at big firms that keep getting bigger. That's where it sees its opportunity.

Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.

The private equity-backed advisory aggregator plans to use a consolidation process in "coming months" to bring its various brokerages under one brand.

Nearly one out of three advisors at independent broker-dealers has thought about going solo in the past year, a new survey finds.

The Wall Street giant has been moving away from providing in-house retail investment advice to finding ways it can support smaller firms.

The prohibition would be on most contract provisions meant to keep emplolyees from taking jobs with competitors.

Three advisory teams managing $10 billion in the San Francisco area are among an ongoing wave of departures from the biggest U.S. bank.

The CEO of the RIA "roll-up" outfit thinks that ongoing industry consolidation doesn't necessarily mean all firms will start to look the same.

Survey results from the payment processing firm AdvicePay suggest fee-for-service models for financial planning continues to grow.

It's not that most firms lack distinct services and a distinct character. It's that so many are bad at conveying these traits to potential clients.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

The legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

Barry Sommers comes in for high praise amid his firm's attempts to move beyond the banking scandals of its past.