RIAs

Despite assurances from industry regulator that it's shelved the campaign to take over advisor exams, some officials worry the RIA sector is "one crisis away" from a new and adverse regulatory regime.

Many advisors may like the idea of independence, but some don't really want to jump through the hoops of starting their own firms.

Firm cautions brokers to rethink how they approach their relationships with advisors to better cater to team practices.

The independent advisory world is a fragmented industry, which is not conducive for advocacy in policy-making.

The move was driven by "a desire to grow," says D.B. Root chief executive David Root.

Commission marks 75th anniversary of Investment Advisers Act, but says there is much work still to do to fully protect investors.

Lee Dana Weiss and his firm Family Endowment Partners face numerous cases from clients as well.

There are three types of advisors when it comes to embracing technology, says the advisor organization: early adopters, those who will follow peer success, and those who wait until the last minute.

The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.