RIAs

What’s a planner to do when clients say their child, a new advisor, is asking them to invest?

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Nontraditional offerings are becoming critical for differentiation, says a new Schwab study. Advisers will also need to provide more services for the same fee, says Bernie Clark, head of Schwab Adviser Services.

One of the fastest growing RIAs in the industry, Mercer Advisors expands its tech expertise by bringing aboard Dave Welling, of financial software firm SS&C Technologies.

The new hires joined Merrill from Morgan Stanley.

Veteran advisers with $437M in AUM 'set out to find something different.'

Independent advisers are poised to benefit from implementation of the DoL ruling.

Planners who lack this vital skill may not provide the best guidance to clients.

Top industry headhunters share their insights on what the evolving landscape has in store for brokers switching firms.