Wealth management

A Phoenix registered investment advisor has agreed to pay nearly $275,000 to the SEC in a case stemming from the sale of a stake in his firm -- at an allegedly inflated price -- to a client.

The organization announced Tuesday that Linda Leitz, a fee-only planner based in Colorado Springs, Col., is set to become its chairwoman in September, and will serve as chair-elect until that time.

The list has been narrowed down. On Wall Street and New York Life/Mainstay Investments have named the top 100 branch managers for their steadfast leadership, commitment to their advisors, and their ability to recruit and retain talent no matter the circumstances. Click through for a breakdown firm-by-firm of those at the top.

Here we present a new look at our Top 50 Bank Advisors list, reshuffled and ranked by percentage increase in assets under management (and then we cut it down to just the top 20).

What are the biggest technology trends, innovations and ideas impacting advisors today? Over 600 people, including more than 300 advisors, descended on Miami for the eighth annual Technology Tools for Today Conference. The event featured the industry’s best and brightest highlighting all the latest technology tools that will held advisors be more competitive, effective and efficient. Here are some of the most interesting things our editors heard, and advisors and financial experts tweeted, from the event.

Legal and regulatory considerations on the path to independence.

How many people would jump at the chance to trade places with 15-year-old twins who stand to inherit one billion dollars in six years? Andy and Danielle Mayoras warn: be careful what you wish for.

In January Financial Planning featured tips from industry experts on how to improve your practice. Now, advisors sound off with their own tips for colleagues and competitors.

How can you build a better advisory practice? Check out some tips from the experts.

As RIA firms grow and attract larger customers, $2 million in client AUM is the cut-off above which pricing rises favorably for RIAs, according to a new study.

Merrill Lynch financial advisor Kevin Scott, number 8 on the Top 40 Under 40 list, took his cues to become an advisor from his father. Now, they work together as a team.

As an increasing number of fee-based advisors leave wirehouses to go independent, some custodians are experiencing some of the strongest growth in the financial industry. Here are the top 15 custodians as ranked by RIA assets.

The Rockville, Md., firm hopes to grow rapidly by targeting smaller firms with an equity partnership deal and, ultimately, profits. Can the strategy made famous by United Capital and HighTower work down market?

RIA firms of all sizes reported cautious optimism about their growth potential and the global economic environment, according to a new survey by Fidelity Institutional Wealth Services.

LionTree Advisors LLC, a boutique firm started seven months ago by analyst-turned-banker Aryeh Bourkoff, 40, and Ehren Stenzler, 37, is riding a wave of media deals to land among the top financial advisers so far this year.

As we head into the 2013 tax season, advisors should tell clients to be sure they won’t be hit with a Durden-style disallowance

FINRA appears to be pulling back from its campaign to regulate RIAs -- and advisors couldn’t be happier.

Many investors are carrying the scars of the past five years into 2013. Some may lose money sitting in cash or fixed income while failing to recognize some long-term opportunities. Others may be too keen on trying to time the market to avoid potential downside. To clear up some misconceptions, Wells Fargo explains some of the less focused-on market trends that investors and advisors should keep in mind and also offers some timely reminders that are relevant no matter what direction the market turns.

The acquisition increases Atlanta Capital’s AUM to $950 million

For Wells Fargo Advisors Financial Network, offering financial advisors more choice in terms of how they want to practice helped propel the business to a record year in recruiting in 2012.