Professional development

Mercer Global Advisors and EP Wealth also extend their reach into the Nashville, Tennessee area with RIA acquisitions.

Atop the standard-setting organization since 2007, Kevin Keller has seen its ranks of certification holders nearly double and has overseen work to bring more diversity to the profession.

Chief Operating Officer Dennis Moore is taking on the role of interim chief as the profession mourned the loss of a dedicated leader.

The can-do work ethic of the firm's northeast divisional president took him across the country multiple times — and to the top of the profession.

Advisors who volunteer their time say they are better able to relate to clients when they actively listen, avoid assumptions and feel with their clients, not for them.

JPMorgan also builds out the ranks of its private advisory group with execs poached from Goldman Sachs, Wells Fargo and Ernst & Young.

The model that RIAs use to pay their less-tenured professionals is morphing and looming larger in their future plans and present-day valuations, experts say.

The first-of-its-kind survey of the channel showed that among directors, women can expect tens of thousands of dollars less than men in the same roles.

New chief executive Tony Miller has served as president of the large regional brokerage firm since 2023.

Citizens meanwhile extends its presence in Florida with a $750 million team from RBC and Envestnet hires a new CEO.

We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions in the last year.

The many technical skills and professional requirements get most of the attention. But experts say a transition also requires a great deal of time and other capabilities.

Raymond James also recruited from Charles Schwab, and LPL from Raymond James and Merrill

LPL also drew from Osaic again, RIA aggregators made some big M&A deals and Merrill rehired an executive who left to go to Citi more than six years ago.

The answer depends first and foremost on how much time financial advisors have for an emotionally and technically challenging process, experts said.

Founders Sonya Dreizler and Liv Gagnon said they hope their firm's successes provide "a stepping stone" for others to keep working toward its mission.

Focus Financial Partners also merges two of its RIAs and Captrust buys up two practices together managing nearly $2 billion.

A lawyer in New York needs help paying off her loans from law school. Are educational assistance programs the answer?

The "model rule" for state regulators is meant to help clients distinguish between advisors who earn management fees and brokers who collect transaction-based commissions.

From LPL Financial's legal challenges to a continuing education scam that involved more than 60 brokers, these are the stories our readers flocked to in 2024.