Independent advisors

The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.

A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.

The author learned fast that running an OSJ has little overlap with operating a fully independent, multicustodial firm.

The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

The giant asset manager and its rivals like Vanguard and Schwab are all benefiting from offering advisors funds bundled into ready-made strategies.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

Among the respondents who work with financial planners, about 7 out of 10 said they have high hopes for 2023. For those without planners, the figure fell to 42%.

The panel's recommendation would also seek comments on the possibility of outsourcing some review functions to third-party firms.