RIAs

What questions are advisors not asking when buying a firm?

The SEC is cracking down on advisors. Here are a few things advisors must know how to answer when examiners come calling.

Independent firm Snowden Lane Partners recruited another wirehouse advisor team, this time from Merrill Lynch.

A Wells Fargo advisor team that managed $200 million in assets has left to join Steward Partners, an independent firm founded a year ago by former wirehouse managers.

Do the instruments make sense in an low-rate environment? And if so, should you build them in-house? Get tips from fixed-income experts.

Caleb Brown and Michael Kitces, founders of New Planner Recruiting, have launched of a new website that focuses exclusively on job opportunities with independent financial planning firms.

Advisors spend plenty of time focusing on their clients' long-term plans, but what about the future of their firms? Here are five strategies, common among top firms, that advisors can institute to expand their practices.

Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates.

Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.”

The recent FinDEVr conference showcased dozens of cutting-edge tools, platforms and technology integrations in financial services. Here are a few of the most innovative ideas I saw.