RIAs

Guide Financial, which counted among its advisors Esther Stearns, former head of Nestwise -- a now-shuttered LPL venture aimed at middle-class clients -- is the latest technology provider to be acquired.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

Several of Steve Janachowski's clients are wealthy professionals with high incomes, but a lot of retirement uncertainty.

Summit Financial, based in Westlake Village, Calif., is a primarily fee-based RIA offering clients investment management, insurance and retirement planning, says Triad, which offers advisory firms both a broker-dealer and a fee-based RIA multi-custodial platform.

New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues.

The wealth division has $700 million in assets under management, according to its latest Form ADV, and only 20 employees performing 'investment advisory functions.'

The former Southwest Securities team had overseen $225 million in assets at the time of their departure.

With a strategy to directly target institutional investors, Trizic, a digital wealth management technology startup, has attracted $3 million in seed funding.

King Financial Network president says the team went private for better accessibility and technology.

Planners learn strategies for guiding soldiers and veterans on unique financial challenges.