RIAs

The recruits left rival firms such as UBS and J.P. Morgan to join existing practices at the independent broker-dealer.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

Experts weigh in on the pros and cons of leaving the employee channel.

The new recruits come from from Merrill Lynch, Cetera and SagePoint Financial.

One of the recruits is an industry veteran with more than 30 years of experience.

One of the new recruits was previously affiliated with Raymond James as an independent adviser for about a decade.

Two are coming back to Mother Merrill, having worked there in the 1990s.

Sales agents and advisers interact very differently with clients, columnist Bob Veres says. Here's how to tell which category applies to you.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

It may seem like a no-brainer for RIA owners to look within the firm when they retire. Yet this assumption overlooks critical aspects of what an internal succession plan actually entails, says consulting executive David DeVoe.