RIAs

The Financial Services Institute, a trade group representing independent broker-dealers and advisors, has elected two new IBD execs to its 2014 board.

Two Florida advisors have been charged with defrauding their clients, including many retirees, in an offshore fraud scam.

Why one firm scrapped its old minimum asset requirements and created a new client division.

G. Moffett Cochran, co-founder and chief executive officer of Silvercrest Asset Management Group Inc., a New York-based firm catering to wealthy families, which went public in June, has died. He was 63.

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.