RIAs

Despite questions about the hastily cobbled legislation, there's some consensus as to what advisors and their clients can do now to avoid unpleasant surprises.

The Private Ocean co-founder, also known for founding software company Junxure, calls Lakeview a "perfect fit."

Parker’s candid responses to Financial Planning’s rapid-fire queries on new digital tools, sexual harassment, Social Security planning, deal-making, how (not) to talk to clients about the stock market run-up and more.

The advisor was drawn to the regional BD’s small culture.

Some guidance is in order to make sure encountering the revised SEC document for the first time goes smoothly.

The planner wasn’t happy with the direction his former firm was pushing its advisors.

Morgan Stanley and one of its advisors were ordered to return the entrepreneur's investment in two private placement funds totaling $536,000 and pay him $37,500 in compensatory damages.

The new law will affect how financial advisors and clients evaluate the pros and cons.

BondNavigator joins a trend of digital tools developed to give advisors better insight into investment products.

The firm, which has roots going back 130 years, sees a way to potentially turbocharge growth.