RIAs

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.

Chairwoman re-ups support for uniform fiduciary standard for advisors and brokers, but says it will only be effective if examinations increase.

There is an opportunity for the industry to learn from technology and get better, said Merrill Lynch Wealth Management head John Thiel.

Competitors from traditional and digital sectors of wealth management weighed in on the debate over industry disruption at the LinkedIn FinanceConnect conference in New York.

The regional broker-dealer landed a former business director from Lifetime Financial Growth, who also worked for Merrill Lynch and Lehman brothers.