RIAs

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Both wealth managers, who left UBS, also had a combined $289 million in client assets before making the move, RBC said.

About a quarter of fee-only advisory firms we surveyed in February said they had changed their fee structure in the past year (as did 20% of all independent firms). So what did they do? We combed through respondents' individual comments to identify several of the changes firms have made.

About a quarter of fee-only advisory firms we surveyed in February said they had changed their fee structure in the past year (as did 20% of all independent firms). So what did they do? We combed through respondents' individual comments to identify several of the changes firms have made.

After selling Cetera for a rich $1.15 billion, Donald Marron's Lightyear Capital picks up a $4.7 billion hybrid RIA.

Striking a balance between the emerging and traditional realms of investing is where Motif Investing sees its niche, says its co-founder and CEO Hardeep Walia.

Russell Investments' new app joins the growing crowd of firms offering financial advisors digital tools to explain investment concepts to their clients.