RIAs

Securing optimal returns depends on many factors, including the right underlying asset class and close monitoring.

The bank has lost a net 1,300 advisors since a fake accounts scandal came to light three years ago.

The advisors joined the regional BD from UBS.

SkyView Partners' new digital platform for RIA buyers and sellers joins a crowded field.

Anthony Guadagnino allegedly solicited at least 10 clients after his departure from the retail brokerage.

Who guards the guardians? Regulators, yes, but as CFPs we must also police ourselves

Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

An online war is underway for deposits, as a wide range of players — traditional wealth managers, big banks, digital-only platforms and fintechs — offer high-interest savings and checking through apps and websites.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.