Independent advisors

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.

Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.

Advisors and brokers rarely put up fights when a former employer comes for loan paybacks as successes are few and far between.

CG Advisory Network's move comes less than a month before the transition of clients from TD Ameritrade is scheduled to take place.

Matchmaking services offer the promise of lead generation without the hassle of cold calling. But do they deliver?

The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.