RIAs

The selling advisor tends to think their practice is worth a lot more than it may be. Here are five things to ask the selling advisor and the appraiser before you buy a practice.

Spurred by the brisk stream of breakaway brokers, HighTower has doubled its recruiting team and lured two new partnership teams: Andriole Group and Klein Wealth Management.

Three deal-tested wealth management firms offered advice to planners at Schwab Advisor Services' annual Impact conference.

It looks like the CFP Board of Standards isn’t getting into the business of becoming a continuing education program provider -- at least for now.

Activities unfolding within 3 separate industry rulemakers -- the SEC, FINRA and the Labor Department -- suggest changes ahead for both brokers and advisors.

New registrants with the SEC or veteran advisors who haven't been examined in many years can expect to hear from regulators in short order, a prominent securities lawyer told attendees at Schwab Impact conference.

In a business update to CFP holders, the board presents research on its Let's Make a Plan campaign, clarifies its fee-only position -- and skips a discussion of recent controversy.

The new model has to be able to serve clients "any time, any place and anyhow," said Bernie Clark, the head of Schwab Advisor Services at the financial service giant's annual Impact conference in Washington, D.C.

Demand is high for experienced executives across all channels. While advisor migration to independent RIAs remains the dominant trend, large wirehouse and bank players are also very much in the game for talent.

State securities regulators have been ramping up examinations of investment advisors in the aftermath of the Dodd-Frank Act, which required more than 2,000 midsized advisors who had been overseen by the feds to register with state authorities.