Independent advisors

A new report by fintech company Vanilla found what drives clients of all wealth levels, including the wealthiest, when planning their last wishes.

Advisors have until Dec. 3 to opine on proposed revisions to types of misconduct and resulting sanctions.

The team joining Fidelis Capital will specialize in working with wealthy families.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.

The paperwork of moving client assets in a transition is a chore for many advisors, but crucial to their success.

From boat cruises to wine bottles to equity compensation, here's what successful recruiting for advisors looks like in 2023.

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.

It's not about working longer hours, living in an urban area or being older.