Corporate governance

The two broker-dealers have a new owner eager to grow the businesses considerably.

Capital is pouring into the RIA market, resulting in more deals, more competition and higher prices.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

The deal marks the largest acquisition for the firm year to date.

How tomes of years past contain keys to succeeding in today's world of low fees and increased M&A.

Regular meetings can yield honest client feedback and advice on nearly everything about your firm. But it’s not as easy as just asking a few people to join you for coffee.

Sellers should focus on what buyers are really looking for, not just price or assets.

Financial advisory practices need to take responsibility for setting a positive culture and stopping abuse.

Technology costs money and takes time, but the benefits are well worth it, Nina O’Neal writes.

Breakaway uncertainty is forcing the RIA to re-evaluate its growth strategies.

The No. 29 IBD has unveiled two significant recruiting moves in the past two months.

The No. 1 IBD unveiled a $1.1 billion firm that is part of the first incoming wave of NPH’s assets.

The No. 4 IBD has added 12 advisors with $2.1 billion in client assets since the acquisition.

The IBD's longtime head stepped down as part of a plan to remake the firm.

When disaster struck, Titus Wealth Management used one tool to find all affected clients in 15 minutes.

When it comes to planning, hitting financial goals is only part of the story.

Too many advisors self-sabotage their referral process.

Some fund managers specializing in distressed debt smell an opportunity.

At least 274 advisors with $11.5 billion in client assets have left the fold since the acquisition.

Advisor Group BDs have poached at least four NPH practices after LPL acquired the network’s assets.