RIAs

The firm is expanding its Tucson office with the addition of the Langer Wealth Management Group.

After announcing it would exit the Broker Protocol, Morgan Stanley lost advisors managing approximately $7 billion in client assets.

Though the wirehouse has reduced recruiting efforts, it continues to attract big producers.

What — if anything — should an advisor do if a client is abusing illicit substances?

ETFs with specific approaches can yield tactical dividends.

The moves comes amid uncertainty about the future of the Broker Protocol.

A TD Ameritrade study asked program directors to give snapshots of what students are experiencing — and what they need from the industry.

The NSA, Equifax and the SEC were all breached. Financial advisors of all sizes are fair game, too, says Wes Stillman.

"Data analytics is critical," says FINRA's chief risk officer.

Smaller and midsized firms typically have fewer resources, limiting the time available to complete annual examinations of their policies and procedures.