RIAs

The agency plans a deeper focus on the role and duties of financial advisors this year, says chairwoman Mary Jo White.

Without viable succession plans, wealth managers are at risk of slowly drifting off into oblivion -- willing partners in their own firms' demise. It's negligent behavior, and anything but benign.

Firm's partners say they wanted 'control of our destiny -- we wanted to own our own equity.'

LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.

A prominent provider of custodial services to RIA firms takes a big step to upgrade its core technology platform.

Focus has assisted in a series of high-profile moves, Convergent pulled a director from Evercore and LPL and Commonwealth swapped firms. Here's a roundup of some of the most recent advisor moves in the independent channel.

The country's largest independent broker-dealer attracts 110 net new advisors in the fourth quarter.

A Laserfiche study finds better content management can improve firms' sale valuations by between $242K and $3.6M.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

Retiree-focused Cherrington Brotsky left Morgan Stanley to join broker-dealer FSC, a member of Advisor Group.