RIAs

New Fidelity research zeroes in on the best practices of RIAs who the custodian identifies as 'marketing leaders.' See what sets them apart.

Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says.

Couples with nontraditional family relationships need planning that is anything but straightforward, says planner Pamela Sandy.

Federal authorities for the first time have directly included rollovers and IRAs in their latest fiduciary standard proposal, and that could have a huge impact on firms in a fast-growing and profitable segment of the retirement savings industry.

Some of the proposed exemptions could be so expansively interpreted that they permit the egregious conduct that bona fide fiduciary standards are designed to constrain.

Multifamily office CEO Joe Votava cites work conflicts and family issues in his decision, while critic suggests the Camarda lawsuit is driving off leaders.

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.