Independent BDs

Once a top-producing planner at LPL, Carson now possesses a direct line to the CEO.

The costs of complying with the fiduciary rule may cause many smaller independent broker-dealers to disappear. Advisor Group plans to take advantage of this trend.

Envestnet CEO Jud Bergman says experts plus machines deliver better outcomes than experts or machines alone.

Though some say the rule's future is in doubt, the firm is going ahead with sweeping changes it hopes will make its advisers more competitive.

Exclusive: Advice Period, the newest RIA platform model, offers star power and IBD qualities. Is it enough?

Women need help in investing, and new niche robo advisers are providing a means to achieving financial confidence.

The executive suite transition has been years in the making.

One of the recruits has more than two decades of experience.

Who is poised to buy next year?

From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.

Ex-RIA Richard G. Cody gave false reports to retirees for more than a decade, the SEC says. Many lost most of their life savings.

The new recruits joined from Merrill Lynch and Morgan Stanley.

The broker-dealer's digital offering will be priced "on the lower end of the spectrum," according to top company executives.

The model for financial advice "is primed and ready for change," says Cetera CEO Robert Moore.

The potential for the fiduciary rule to be scuttled by the Trump administration helped drive the decision, sources say.

The advisers are the first to obtain startup capital from the firm.

Casady provides both consistency and a fresh approach, leaders of the firm's OSJs say.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

The president and former CFO will step up at a critical time for the nation’s largest IBD amid competitive threats and pressure to boost its stock price.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.