RIAs

Chief Executive Paul Reilly acknowledged that the firm has been exploring potential acquisitions, but declined to discuss specific targets with analysts during an earnings call.

Serving public shareholders conflicts with LPL's ability to serve advisors and clients, says David Pickler, who has moved to Commonwealth Financial.

As Cetera is shopped around by Lazard, the IBD’s advisors say they want to stay with the firm but will leave if they must.

FINRA slammed the firms for failing to apply sales charge discounts to customers' purchases of unit investment trusts. Seven of the 12 were bank broker-dealers or TPM firms.

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Keel Point says it will now manage $150 million in assets in Chattanooga, Tenn.

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.