RIAs

Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.

The fiduciary rule proposed by the Labor Department this spring is taking up most of the spotlight.

Independent financial advisors list the advantages they have found tailoring fee structures to their and their clients' liking.

The new digital platform will cost 10 basis points for advisors who have less than $100 million in AUM under custody with Schwab, but advisors who have more under custody won't be charged a fee.

Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.

Despite the benefits of independence, there is an added time, cost, liability and regulatory burden.

Robo startups are expected to reach $452 billion in AUM in five years, but incumbent firms will possess over $1 trillion in assets in the digital automated advice space.

Pershing CIO Ram Nagappan offers a framework to help advisors think about how to transform their businesses to digital.

From starting an RIA to joining an independent broker-dealer, there are myriad options for advisors seeking to go independent.

Betterment CEO Jon Stein says his firm is adding 1,000 accounts a week to the tune of about 94,000 with a total of $2.3 billion AUM. Over 30% of assets come from clients age 50 and up, he adds.