RIAs

The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry.

Stifel's CEO says his firm is enlarging its footprint in the independent space because clients are migrating there.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Andrew Bowden will return to the private sector after four years of working to streamline the SEC's advisor exam program.

Fidelity's custody unit is backing a deal in which a Mariner Holdings unit will pay 35 basis points for referrals of mass affluent customers.

Focus Financial expand into Southeast with family-owned firm that has $600 million in AUM but no succession solution.

Financial Planning surveyed its readers to ask about compensation trends, their current structure and any changes their firm was making. We found some of the answers surprising.

The billions firms spend on technology are weighted too heavily toward infrastructure, Aite Group says, and not enough on client-facing upgrades instead.

When it comes to actual dealmaking, using multiples is a dangerous and irresponsible way to value RIAs.

Advisors face a shifting landscape on both competitive and economic fronts. Many argue that it's time to scrap the AUM fee altogether.