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See which independent broker-dealers are beating their larger competitors in attracting new client assets.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.

A father, son and daughter leave the wirehouse to form their own business.

A victory for the government would be a boost for prosecutors and the SEC.

A look at the new opportunities and restrictions that emerged over the course of the year, with an eye toward what clients can do before Dec. 31.

“It will help them cope with some of the new burdens that the fiduciary requirement will impose on firms,” an industry analyst says.

Bond ETFs now manage $428 billion in the U.S. and $150 billion in Europe.

New capital from outsiders is adding $50 million to the RIA's war chest.

The self-paced online curriculum consists of a base course and role-specific courses for both fiduciary and non-fiduciary roles

While the fiduciary rule was cited as a positive, problems mentioned by Bogle included the incentive for companies to be “very stingy” with pension contributions since they come out of earnings.

Multiple tiers of service with corresponding client benefits will be the only way to maintain reasonable profitability in the future.

A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to officials.

Automated investing platforms are making it tougher to charge for some financial advice, says Tiburon Strategic Advisors.

Stephen Stabile makes an argument for this planning approach, and others in the industry agree.

Merrill Lynch's Stephen Stabile and others are using behavioral finance tools to make better plans for clients.

This unit is a critical gatekeeper and value-add for your clients, particularly high-net-worth ones.

Strategies and products from active and passive managers continue to complement each other in portfolios.

A young alternative ETF producer right now has two growth opportunities, says Reality Shares' CEO Eric Ervin.

Beacon Pointe’s latest deal puts the wealth manager over the $2B AUM milestone, and it’s eyeing new markets.

The executive will oversee the delivery of advice and services for many of the firm's most prominent client families.