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Marketing expert Marie Swift shares some ideas for riding the retirement wave, appealing to allied professionals and building name recognition within specific communities of interest.

As new reports surface that both Stifel Financial and Raymond James could be in the running to buy Regions Financial’s brokerage firm, industry analysts are eyeing exactly how a possible deal could shape up.

Bank of the West expands its wealth management universe with a new center for high-net-worth clients in the heart of Silicon Valley.

Among the 27.2% of IMCA members who are independent, 14.2% are RIAs, 7.7% are dually registered and almost 85% of IMCA advisors and consultant provide fee-only or fee-based advice.

Morningstar is no longer just looking backwards – focusing on three-, five- and 10-year returns. The fund ratings giant is now looking ahead to the future, as well.

FINRA has asked the SEC to allow it to assess its muni members quarterly fees based on the par value of their reported transactions to help fund the Governmental Accounting Standards Board, despite protests from issuers and dealers.

When it comes to bond funds — or any mutual funds — past performance is not the best way to analyze them. Instead, S&P Capital IQ analyst Todd Rosenbluth suggests investors should consider the credit risk of the underlying bonds, as well as a fund’s duration.

2011 may be remembered for its Walls Street thrills and spills, but the merger and acquisition deals made a huge mark on Main Street and the RIA business. Here are 10 unions that reshaped the RIA landscape.

2011 may be remembered for its Walls Street thrills and spills, but the merger and acquisition deals made a huge mark on Main Street and the RIA business. National aggregator and private equity firms accounted for a vast majority of the top deals. Here’s a look at 10 of the most significant deals in the RIA sector in the past year.

SEC says it will no longer let companies "neither admit nor deny" charges in settling cases it brings against them. Sort of.