Wealth management

Some of financial advisors' biggest preconceptions about switching to the RIA space -- from worries about insufficient AUM to fears about lower earnings and complex technology requirements -- were highlighted in a new report from TD Ameritrade. But the biggest myth, say advisors, is one that didn't even make the list.

Building your own business, even with a team of experts behind you, requires making tough decisions regarding resources, clients and employees. But most of all it requires leadership. Dynasty's CEO Shirl Penney offers a few lessons his firm has learned as it continue to build a business.

After LPL Financial agrees to pay FINRA case, compliance expert says there’s ‘no legitimate excuse’ for email missteps.

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.

Nearly 200 financial advisors gathered at the Metropolitan Club in New York City with an aim to level the playing field within the industry.

You can do your clients a great service by sharing this story and reminding them that gifts of valuable personal property need to be well-documented with good estate planning, so that their loved ones don’t have to fight in court over whether a valid gift was made or not.

Independent advisors should be preparing themselves more aggressively for sale and consolidation, a new study says.

“This is not an easy business,” Carson told an audience on Thursday of over 500 advisors at the 24th Peak Excell Meeting. “It is a rewarding but difficult business … and we have to constantly reinvest and reinvent.”

In five years, Stratos Wealth Partners has grown from a glimmer of an idea to a firm with 130 advisors nationally and over $6 billion in assets under management. The secret to its success: a hybrid RIA model.

The platform, eSavant Advisor, which was introduced Monday, caters to clients with at least $50,000 in investable assets.

The financial services industry needs a major makeover, Sallie Krawcheck said at an industry conference Friday.

Independent broker-dealers and RIAs have the edge over wirehouses when it comes to adding mutual fund assets under management, according to Access Data and Strategic Insight.

LPL Financial added Ingham Retirement Group to its broker-dealer and RIA custodial platforms.

The number of deals for RIA firms jumped in the first quarter, according to new research from Schwab Advisor Services. But transaction value was lower than at any point in the last year.

With all the anticipation of a large transfer of intergenerational wealth, a lot can be at stake for advisors presiding over high net worth clients at these meetings.

Creating a will is not a last-minute endeavor, but one that requires deliberate planning.

A dearth of suitable candidates is putting a strain on growing firms - and sharply boosting the price tag for top advisors.

Tax changes may affect investing ideas about bypass trusts, grantor trusts and other estate planning steps.

On Wall Street and New York Life/Mainstay Investments pinpoint the top leaders in wealth management.

Trust Company of America is expanding its Advisor Pathways program by partnering with RIA in a Box.