Corporate governance

What’s a planner to do when clients say their child, a new advisor, is asking them to invest?

From setting fees to compliance scares, veteran planners advise new RIAs on what to consider when launching a firm.

The long merger trend among the broker-dealers behind the bank channel is likely over, and new banks are not joining the channel in a major way. Where will TPMs find growth?

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

See which independent broker-dealers outpaced their peers at the top line.

Only 17% of advisers have a binding and actionable plan in place.

There must be a fully realized transition strategy, says Tim Chase, co-founder of WMS Partners.

Do's and don'ts for transitioning the practice as a long-term process, not a one-time event.