RIAs

Whether they like it or not, RIAs must pay careful attention to their firms' compliance practices. Here are 23 important guidelines to follow.

Key to the hire was ex-Fortigent CIO Scott Welch's strong relationships with many of the country's top RIA wealth managers.

Independent advisors are bucking the broader trend and going to work for wirehouses and regional firms, ditching managerial tasks for simplicity and payoff.

Impressed by LPL's size and scale, Faubourg Private Wealth Advisors also liked the idea of working with super-OSJ Level Four for additional flexibility, the firms' investment models and multi-custodian platform.

It doesn't have to be long, but your annual business plan should be on paper. Here's why advisors should write out their plan each year -- and what they should include.

The aggregator says a total of 55 firms have signed contingency agreements with its partner firms.

By acquiring fintech companies Upside and Finance Logix, financial advisor platform and service provider Envestnet is betting that the best wealth management model combines human advisor-client relationships with the latest technology.

The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions.

In the lead-up to a deal, it can be hard to get a straight answer. Here's what the buyers and sellers of financial advisory firms are really thinking.

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.