RIAs

The happiness of the independent advisor appears to be slightly overrated. By a slight but significant margin, advisors in RIAs aren’t as happy with their careers as those in wirehouses.

Barnaby Grist, Cetera’s executive vice president of wealth management and a high-profile hire from Charles Schwab in 2010, is stepping down to care for his parents in England and his wife’s parents on the East Coast, says a spokeswoman for the broker-dealer network.

Dallas should be a dream market for independent advisors. But unlike the San Francisco, it has not been as hospitable to independent wealth management firms.

Fast-growing JHS Capital Advisors has opened a new office in Baton Rouge, La. -- the company’s first in that state.

For the visually inclined, we've created an infographic to highlight some of the major shifts under way in demographics, technology and global wealth.

A former Massachusetts CFP and his colleague spent $1 million of their clients’ funds on personal expenses, including fast food, legal fees and ATM withdrawals at casinos, the SEC alleges.

Raymond James is going after more top advisors -- and it's changing its payout structure to do so.

Total stock and bond mutual fund and ETF assets distributed by independent/regional broker-dealers and registered investment advisors grew at more than twice the rate compared to the wirehouse channel during 2012, according to newly released data from Access Data.

Founded in 2009 aiming to serve women with online budgeting tools and financial advice, LearnVest morphed into a mass-market RIA firm last year and now has its eye on growth.

Among advisory services competing for the wealthiest clients, RIAs and multi-family offices are winning.