RIAs

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

Comparables, such as multiples of revenue or cash flow, may not be most important because they could mean an oversimplified valuation.

The human touch is still needed in the foreseeable future because advisors can approach complex situations with customized solutions, says one MIT professor.

New digital tools are paving the way for advisors to create hybrid services that will increase both reach and profitability. See a few of the newer options.

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.