Industry

In the lead-up to a deal, it can be hard to get a straight answer. Here's what the buyers and sellers of financial advisory firms are really thinking.

Looking for a new home for your practice? Here's what you need to consider.

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

Chairwoman re-ups support for uniform fiduciary standard for advisors and brokers, but says it will only be effective if examinations increase.

There is an opportunity for the industry to learn from technology and get better, said Merrill Lynch Wealth Management head John Thiel.

Competitors from traditional and digital sectors of wealth management weighed in on the debate over industry disruption at the LinkedIn FinanceConnect conference in New York.

The regional broker-dealer landed a former business director from Lifetime Financial Growth, who also worked for Merrill Lynch and Lehman brothers.

Walter Bettinger argues robos might work for "a very small percentage of people," but not for the overwhelming majority of the investing community.

If you're pinning your success to an arbitrary AUM level, you've got a problem. Here's what firms seeking long-term success should concentrate on instead.