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Running an independent wealth management firm with 70 to 80 advisors sounds like a machine of an operation, but Paul Beideman, the chairman and chief executive of Merion Wealth Partners, wants to ensure that each advisor has a personable relationship with his or her clients.

The number of advisors the firm transitioned may have fallen in the first nine months of this year, but the assets they brought over are higher.

You need to know where your profits are coming from, but to truly serve your clients, it would also be nice to know how their behavior separates them into groups.

Disgruntled by big-firm groupthink, Erwin, Martin and Rexius set up Sapient as an RIA in Eugene, Ore.

Economy is taking a definite toll on retirement savings.

Nanex challenges SEC report that points to Waddell & Reed.

Fidelity has been underwriting more bonds than since the late 1980s.

Banks' biggest problems have officially moved to the top of their balance sheets. JPMorgan Chase sent that signal in reporting anemic revenue for the second straight quarter.

Federal Deposit Insurance Corp. Chairman Sheila Bair said Wednesday the growing robo-signing scandal was symptomatic of the poor incentives that marred the securitization market, but she opposed a universal freeze on foreclosures.

For four days in October, financial planners and advisors descended on Denver for the annual FPA Conference, which delivered information, tips and advice to help practitioners build a better business.

Bank brokerage trade group parts ways with its managing directors.

Seeing an increased appetite for munis from individual buyers, Fidelity Investments has ramped up its underwriting capabilities in recent years, saying it wants to give clients quicker access to new product with better prices and more transparency.

The economy is outright preventing or dissuading many American workers from saving for retirement, according to an analysis of U.S. Census Bureau data by the Employee Benefit Research Institute.

Year-over-year drops are precipitous, but Beacon Research predicts a brighter third quarter.

New York firm investigates arbitration claims as independent broker-dealer undergoes hearings on Massachusetts charges

Prospects are spending more time online. Isn’t it time you had a Website that meets their needs?

Joyce Frost and Frank Iacono, former executives at Morgan Stanley, and Chris Frost, formerly of Societe Generale, have partnered to form Riverside Risk Advisors LLC, which offers independent risk assessment, structuring, pricing and execution advice for complex derivative and structured product transactions.

The company has added 300 advisers and brokers this year as assets under management in its three wealth management businesses increased.

TD Ameritrade’s bold move to offer 101 commission-free ETFs is likely to bolster the trend.

The Internal Revenue Service has issued final regulations under a law change that will require reporting of basis and other information by stock brokers and mutual fund companies for most stock purchased in 2011 and all stock purchased in 2012 and later years, making it easier for investors to report their gains and losses next year on their tax returns.