RIAs

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.

The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.

Aequitas Capital is hoping to woo advisors with an unusual but potentially potent pitch: its expertise in alternative investments.

From stolen cell phones to email scammers and hackers, advisors face numerous threats to the security of sensitive client data. Here are a few simple ways advisors can avoid getting hacked.

When it comes to compliance, do-it-yourselfers must build policies and procedures that can protect the firm. But as practices grow, seeking outside assistance may be necessary.

CFP Board drops investigation into activist planner after he drops CFP certification.

The list includes 20 CFPs with bankruptcies dating back to March 2009; none are subject to disciplinary action.

Personal Capital's business model is rooted in technology -- but with live advisors and higher fees, the firm wants to duck the "robo" label.