RIAs

There's a discrepancy between the technology clients expect and where "typical" advisory firms are, technology expert Joel Bruckenstein told advisors. “You’re moving too slowly and you have to be more aggressive.”

Financial advisors who want to grow their revenues have two options: go bigger or specialize. Here's how.

By snapping up a series of independent B-Ds in quick succession. the RCS Capital executive chairman has instantly made himself an industry player. He talks to Financial Planning about his plans.

Elliot Weissbluth tells HighTower conference attendees that he anticipates headwinds for firms that provide both products and advice and sees no future for small, unsophisticated advisors.

'We were not as proactive as we should have been,' the CFP Board says, rolling out two initiatives aimed at resolving advisors' incorrect fee-only disclosures on its website.

Every firm needs to determine the unique compensation plan that will work best for executives, staff and clients. These guidelines should help you get started.

FINRA CEO Richard Ketchum praised one SEC commissioner for floating a new proposal to beef up examinations of the RIA industry independently of Congress.

The contentious issue of harmonizing fiduciary responsibilities remains high on the agency's to-do list, though a timeframe for when a proposal might materialize is far from certain.

The board offered individual counsel to NAPFA members in violation of board rules, an ongoing conflict without imminent resolution.

When financial planners launch a firm, success hinges on knowing how to run a business.