RIAs

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The change follows multiple reorganizations of the Wall Street giant's asset management division.

The author learned fast that running an OSJ has little overlap with operating a fully independent, multicustodial firm.

Despite the rate of M&A slowing in the industry, LPL says it will continue to be a "significant source of growth."

The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.

The head of private wealth management in the Americas says he was once skeptical of the idea of the "great wealth transfer." No longer.

There are important nuances to note in the relatively straightforward requirements of the rule.

Independent advisors deal with clients' tax woes as well as their own. Year-round planning can lower stress levels.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Family offices have joined strategic buyers and private equity companies in competing for M&A deals.