RIAs

LPL's ability to service a cluster of firms attracts hybrid Financial Advocacy Network from the D.C. area.

The FPA’s new president-elect, Pamela Sandy, wants to help create a more diverse face of the advisory profession, raise the organization’s profile among lawmakers and build a culture at the organization to attract a new generation of planners.

A set of mid-1990s recommendations aimed to reform Wall Street's culture. They didn't, however -- and the real losers were investors.

Are advisors doing clients a disservice when they prepare to hand over the reins?

The pitches are persuasive. Workers who leave jobs with the federal government transferred $10 billion last year out of the Thrift Savings Plan.

An FA Insight study finds that RIA firms' strategic plans lack accountability, smart metrics and proactivity.

The advocacy organization for personal financial planning announced on Wednesday that Seneca Financial Advisors CEO Joseph Votava Jr. has been elected to serve as its 2015 chair-elect.

Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison.

A former United Bank & Trust wealth management team with more than $350 million in client assets is going independent with the help of Dynasty Financial Partners.

After being forced to produce extensive records, the board hopes a judge will similarly order two planners to produce voluminous documentation.