RIAs

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.

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

Whether you're selling right now or next decade, there are many ways to make any solo practice appeal to buyers.

'The robo-advisors worry us,' said Rush Benton of CapTrust Financial Advisors at a panel on firm valuations.