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Attorneys and other compliance experts say it's important that financial advisors greet any type of negative feedback with a thoughtful response — especially if it could turn into a legal matter.

Cerity Partners adds its own large RIA in New York, and Beacon Pointe acquires firms in Indiana, Washington State and New York.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Ten financial advisors are offering fresh ideas, making bold career moves and creating deep ties to their communities. Discover how they earned their spot in this year's cohort.

After struggling to find work as a transient Army spouse, Monique Street built a career helping military families with their finances, taking their causes to lawmakers across the country.

Christopher Haigh, founder and CEO of Iconoclastic Capital, isn't afraid to speak his mind — or to change his burgeoning firm's tech stack when necessary.

Also this week, Wells Fargo recruits from LPL, RBC and TD Private Wealth, and Corient moves overseas in a deal that doubles its AUM.

Rising health care and long-term care costs are reshaping retirement planning. Advisors need to know how the landscape is shifting for retirees.

MML Investors Services, ONESCO and Integrity Alliance (formerly Brokers International) top the list as independent brokerages compete for financial advisors.