RIAs

NetVEST, which is returning to LPL, has approximately $200 million in client assets and specializes in establishing revocable and irrevocable trusts. The firm had been affiliated with Ameriprise for the past year; but had been with LPL for almost 20 years before that, however.

One of the most challenging things advisor Dave Grant faced when setting up his RIA was deciding on a CRM system.

For Jeffrey Thomasson, founder of Oxford Financial -- the largest firm on Financial Planning's 2013 RIA Leaders list -- smooth waters means it’s time to rock the boat.

The independent broker-dealer got into hot water over unsuitable fund sales, according to FINRA.

Exclusive: In the wake of its CEO's bike crash, a series of changes at San Francisco's Presidio Group has put expansion plans on hold and left the firm working to rechart its course.

For United Capital's newest advisor, it was the tools that closed the deal.

The overall advisor population has been sliding -- and a new study finds that only one category of advisors is expanding to fill the gap.

The fast-growing Kansas-based advisory firm with national ambitions has planted its flag in New York City, signing on RR Advisory Group.

Although many in the industry consider Dynasty and HighTower rivals for the allegiance of breakaway teams and independent RIAs, CEO Shirl Penney says Dynasty “doesn’t run into [HighTower] as much as you may think.”

For most of the past year, the status of a uniform fiduciary standard for brokers and investment advisors might be summarized as, “Don’t hold your breath: the SEC has higher priorities.” But an important event last week may serve as an impetus to move this long-simmering issue forward.