RIAs

Market volatility and industry changes have had a chilling effect on advisers' career plans.

The largest teams to go indie this year managed more than $5 billion in client assets.

Two advisers left Lebenthal Wealth Advisors to start their own practice approximately two years after they joined the firm.

"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

Adding new technology is more likely to be chosen as one of the most important factors to enhance profitability.

Regulatory and industry changes are driving some advisers to rethink their business model, writes recruiter Mark Elzweig.

As volatility remains a real concern, advisers will need to continue to transition into holistic and goals-based advice.

The firm's decision has advisers and clients questioning the investment policies and maturity of the digital platform.

Social media is included in regulatory requirements.