RIAs

Broker-dealers have managed to control the terms of the regulatory debate. Advisors: It's time to watch your language.

Lack of scale and the heavy investment wealth platforms require may have prompted the bank holding company to sell its RIA business, says one industry consultant.

Esther Stearns is working with financial software maker Guide Financial in its quest to "carry the NestWise torch."

As four officials begin terms as volunteer chairmen of CFP Board councils, a former panel chairman highlights the challenges they may face.

'There will be absolutely no pressure to sell any of our products,' says RCS chairman Nicholas Schorsch, who built a fortune on nontraded REITs but has recently been acquiring several big independent B-Ds.

A survey of 500 mass affluent investors by an industry association finds -- conveniently -- high awareness and use of nontraded REITs.

For RCS advisors and brokers, the sweet spot will be individuals and families with $300,000 to $3 million in investable assets, Schorsch says.

RCS Capital wants to buy an investment research firm, an RIA and a family office -- and hold a major industry event modeled on Charles Schwab's annual Impact conference.

Royal Securities to pay $175,000 in FINRA fines over non-traditional ETF sales, church bonds and other violations.

The husband-and-wife team is the eighth team to join HighTower’s New York headquarters.