RIAs

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Brad Bueermann of FP Transitions says you should go with the right fit when buying or selling an advisory business.

"One thing we can tell you is our opposition was there before us," says FPA's director of advocacy. "We heard over and over again the argument that if a fiduciary standard were extended to broker-dealers the middle market would be hurt."

Want to know what matters most to the people who make your business run? Here’s how to set up a panel to get better client feedback.

As competition for talent increases, the best way for RIA firms to hold onto top-tier employees is to make it worth their while. Schwab's 2014 RIA Benchmarking Study highlights three major steps toward building a good compensation plan.

"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management.

Two former advisors from Fifth Third Private Bank are joining LPL's broker-dealer and custodial platforms as an independent hybrid firm, StreamSong Advisors.

Washington Wealth crests $1 billion in AUM by adding Martucci Adams Wealth Advisors of Salt Lake City.

TD Ameritrade's online hub will offer information and action alerts to advisors as lawmakers and regulators weigh hot-button issues.