RIAs

Why one advisor specializes in helping clients who come into sudden wealth.

Advisors who convey bad news with understanding and empathy can help clients make better decisions about their financial health.

Dynasty is benefitting from big breakaway teams eyeing the success of their predecessors, but the high-flying platform provider may face competition down the road.

While client growth rates are expected to increase slightly for the year, an anticipated slowdown in AUM growth is poised to affect revenue.

Spending more time showing clients how to best enjoy their money could be more consequential than building their savings, advisors at NAPFA Conference are told.

Advisor networks can provide community, targeted advice and much-needed support for planners with niche specialties, Dave Grant says.

Chief Executive Paul Reilly acknowledged that the firm has been exploring potential acquisitions, but declined to discuss specific targets with analysts during an earnings call.

Serving public shareholders conflicts with LPL's ability to serve advisors and clients, says David Pickler, who has moved to Commonwealth Financial.

As Cetera is shopped around by Lazard, the IBD’s advisors say they want to stay with the firm but will leave if they must.

FINRA slammed the firms for failing to apply sales charge discounts to customers' purchases of unit investment trusts. Seven of the 12 were bank broker-dealers or TPM firms.