RIAs

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

‘The firm gives advisors the ability to choose who they do business with and doesn’t put limitations on minimum account size,’ one advisor says.

The wirehouse is charting a litigious course since breaking with the Broker Protocol, and some observers think the scorched-earth campaign could harm its reputation.

Of the 46 advisors newly appointed as managing directors at the firm, only three were women.

Focus Financial adds a $4 billion wealth management firm to its expanding roster.

One recruiter argues the firm is losing talent because it will eventually exit the Broker Protocol.

At Merrill "it felt like we shifted away a little bit in recent years from the core focus of wealth management," advisor Matthew Spradlin explains.

Strengthened legal language recently added to bonus agreements will be removed, according to people familiar with the matter.

Planner Matthew Boersen used youth to his advantage in appealing to older clients.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.