RIAs

Record crowd focuses on the future of financial advice.

Competitors are 'welcome to call' clients, says new CEO Douglas Wolford, who replaced David Zier after the latter's suicide -- but none have left, he says.

"We have to continue to grow and we'll be looking at acquisitions, mergers, tuck-ins and roll-ups, all of the above," says Mark Allen, president of Nebraska-based Allen Capital Group.

Convergent CEO David Zier's death followed inquiries into his management of an outside fund, according to Chairman Steve Lockshin.

Strong details and carefully executed plans make for a positive transition.

The independent broker-dealer has added former LPL affiliate Nelson & Nelson Wealth Management of Camarillo, Calif.

But the asset allocation and rebalancing service will launch first for retail before rolling out to Schwab advisors.

Fending off cyber intrusions is becoming a cost of doing business, but when advisors find that their practice has been breached, they need to follow a plan for assessing the damage.

The “reverse churning” comes in when the client is in a wrap program, despite being a low-volume trader.

When it's time to give up control of your firm, will you know what to do?