RIAs

A sharply increasing number of plan sponsors want financial advisor guidance -- but many of the RIAs on Fidelity's platform are just dabbling in the area, the custodian says.

United Capital has started providing regular liquidity to advisors with some first stock sales proceeds exceeding $500,000.

Mark Spangler, who used NAPFA affiliation to attract clients before losing most of their assets, was taken immediately into custody at his sentencing.

While the cloud shift and mobile tools continue to dominate, a few newer patterns emerged at this year's T3 conference.

CFP Board makes new push into academia with plans for a center at its headquarters and an academic journal

Family office execs report a rise in direct investments and so-called club deals as hedge funds fall out of favor. ''Families want to be in control," says one consultant.

Compliance experts are recommending that firms take a flexible, risk-based approach as they respond to the SEC's red flag rules, a new set of regulations for protecting clients against identity theft.

Advisors will be expected to keep records about the content they post on social sites just as they do with other materials on traditional channels, according to a senior commission attorney.

The once fast-growing firm leaves LPL after a year and a half, hoping NFP's deep pockets will help it attract other advisors.

Financial advisors who use active management may have a lower-cost option when considering actively managed ETFs – but some advisors express doubts on the real value for clients.