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The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

Consider customer referrals, a strong media presence and philanthropy.

Consider customer referrals, a strong media presence and philanthropy.

Motif’s Hardip Walia discusses attitudes of investors and the inadequacies with contemporary environmental, social and corporate governance investing.

He cited an IMF report that suggests growth is impaired by slow business investment and an aging population with reduced demand for consumption.

Futures closed at the highest in six weeks after Saudi Arabia was said to likely support prolonging output reductions.

They handle the trading, rebalancing and overall management of portfolios — freeing advisers to face their clients. But not everyone wins, as Michael Kitces writes.

The RIA's parent company is set to buy a very large adviser aggregator. If completed, it would be the biggest transaction of the year.

The group includes a father-daughter duo who have worked together for 25 years.

The new retirement system will allow for 401(k)-type savings and provide financial education services to help military personnel make better investing decisions.

Older wirehouse advisers opting to go independent should keep these factors in mind if they want a richer exit from the business.

Full-service planning allows for a bigger impact, but a niche approach may mean more objectivity.

Asking outright can be tricky and uncomfortable; use these market strategies instead.

Asking outright can be tricky and uncomfortable; use these market strategies instead.

These prospective clients may have fewer assets but lots of dreams, so make time for them.

These prospective clients may have fewer assets but lots of dreams, so make time for them.

First-quarter revenue jumped 9% year-over-year even as the number of advisers fell by 10%.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The new recruit's business focuses on Latin American clients.

Verify every candidate’s claims about the quality and quantity of their clients.