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Industry leaders believe the plan isn't ready.

Advisors need to determine ahead of time how they are going to make ends meet for at least two years as they build their businesses.

When going independent, advisors should create and use an electronic practice playbook as a tool to help stay organized and navigate easily through technology procedures.

Now may be the time to take advantage of advisors leaving wirehouses en masse, as contracts signed after the financial crisis seven years ago begin to expire

SEC sends contradictory message, critics say, urging the public's vigilance yet displaying leniency to a deceitful advisor.

The firm's recruiting win mirrors similar pickups of billion-dollar teams by rivals Merrill Lynch and Raymond James.

How to make your client's taxes less taxing; Plus: mid-year tax moves to help clients pocket more money, and figuring out taxes on options trades.

The TPM has hired two executives to oversee the recruitment of new banks and credit unions to its platform.

Clients cannot request a new Social Security number to allay fears of possible fraud-related claims on their records, but may be allowed to change their number if the threat of abuse of their existing number continues; Plus, a new take on the right retirement age.

The decision to break away raises many issues and questions, not the least of which is whether clients will follow their advisor out the door.

The term robo advisor is too broad to describe some of the new wave of digital wealth management companies, tech observers say.

Regulators at the SEC and FINRA are taking a hard look at how advisors and brokers are protecting digital systems. Here's how firms can respond.

Do mashups offer an new investing opportunities or just create financial mush?

Common mistakes clients and planners make.

Asset managers groaning under the weight of regulatory requirements scrambled to learn more about recent SEC proposals that would increase their data collection and reporting requirements about their holdings.

Welcome to the era of ETF mashups, whose issuers act like Dr. Frankenstein and combine popular strategies hoping the result will be greater than the sum of its parts.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

Don't lose sight of what attracted them to you in the first place.

The San Diego-based credit union picked CUSO as its third-party broker dealer after a nine-year hiatus with a rival TPM firm.

The Braddock Group left the independent broker-dealer for the regional.