Independent advisors

Pondering her firm's future on walks during the pandemic, the founder of an independent RIA decided she needed a bigger partner.

Firm CEO sees benefits in acquisitions rather than recruiting, in part because they allow for "client continuity."

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

Shirl Penney and other firm leaders discussed the firm's ambitions and plans in the M&A market.

With trillions in assets likely to be handed down in coming decades, financial planners shouldn't wait to establish rapport with investors' children.

Some argue the standard-setting organization could be doing more to expel 'bad apples' from the industry.

The policy change is meant to give others in the industry insight into what drives its ethics and compliance decisions.

Captrust went from runner-up in a transaction to buy Column Capital Advisors to stealing the seller's hearts. Here's how a home office visit made all the difference.

Only one state — Minnesota — has so far adopted the new policy.

Some think the firm needs to become better known if it's to reach its growth goals.