Portfolio

The advisers made the move in the wake of new regulatory guidance which takes aim at recruiting deals.

Accelerating inflation will be a focus of next month’s meeting.

Regulator comes down hard on compliance failures; additional $6.3 million must be paid back to investors.

Two industry veterans joined the fast growing regional brokerage firm.

How advisers can prepare for renewed interest in alternatives.

"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."

Best ways to bring two firms — and distinct cultures — together.

Best ways to bring two firms — and distinct cultures — together.

Mutual fund providers sought to use digital platforms as new distribution channels for their funds, but new guidance upends a strategy that would rely only on proprietary products.

Digital tools can supplement human advisors with ongoing counsel while the latter can also take over when an investor needs reassurance.