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Don’t be afraid to ask some personal questions. Showing interest in clients’ lives can be a great way to net new business

Consumer activist counters: “There will be a lot of hyperbole from the firms on the effects of the rule and blaming the rule for things that they would have done otherwise.”

The wirehouse veterans left to join Raymond James' employee channel.

The group made the move over to the employee side of Wells Fargo.

Naureen Hassan, who oversaw Charles Schwab's Intelligent Portfolios Service, will lead Morgan Stanley's strategy for digital tools and platforms.

To understand the direction of digital advice, look to the industry experiences of the mid-90's and the early 2000s, says Mitchell Caplan, CEO of Jefferson National.

The lawsuit stems from the conflicting demands placed on advisors who are expected to cross-sell banking products.

Roll-up also adds $50M AUM Harvest Group Financial Services.

If advisors answer these 4 questions correctly, they’ll be in good shape to start an independent firm, says Fidelity’s Bob Oros.

Looking for wealthy clients? Here are the states where you can find them.