It's all too easy for financial advisers to find themselves unwittingly defined as custodians of their clients' assets.
Though dwarfed in size by their bigger competitors, small custodians serve thousands of loyal RIA clients
For many advisers, whether to charge on cash depends on how much time they are spending managing those assets. .
The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.
CFO4Life left LPL in 2012 to go independent
RIA-industry veteran will replace Roger Ochs at the $37B wealth management firm
The plaintiff's bar is licking its chops, looking for a new class to represent
Brian Ourand admitted taking $250,000 from the former heavyweight champion and $500,000 from former NBA star Glen Rice and at least two other pro athletes.
President Trump's decision to halt the DOL fiduciary rule drew mixed reactions from industry professionals.
Divorce distribution and management fees
Offers guarantee on services.
Adviser Investments buys Braver Wealth Management, creating 80-person firm
New Fidelity report calculates 104 deals last year compared to 138 in 2015, partially due to growing gaps between what buyers are willing to pay and what sellers are seeking.
The firm is an employee-owned, independent partnership associated with Raymond James, and has found success with its collegial 'no-jerk policy' for those who'd like to join.
The executive vice president and head of Fidelity's RIA segment is leaving the company at the end of the month.
LPL among the firms to benefit from the expanded distribution of financial advice
The firm he founded, Dynasty, is focused on the specialized needs of top RIAs across the country.
Differentiating themselves from brokers would be easier now that debate has raised investor awareness of the role of a fiduciary
Novos Planning Associates moves under the Mercer umbrella as the 22nd branch office
