While passive investing and the DOL fiduciary rule have contributed to investors' cost sensitivity, the advice industry has managed to stay outside the fray — so far.
In their race to expand, RIAs are attracting unusual investors who are sometimes willing to offer better terms and take longer views of their investments than traditional lenders.
More than half of those surveyed plan to talk to their financial advisers about policy changes that will impact their investment portfolios and financial planning strategies.
Capital Financial Planning in Albany, N.Y., joining LPL's brokerage and RIA platforms with 18 advisers.
Carl Gravina and Liana Poodiack managed $450 million of client assets at Wells Fargo, and Joshua Houle managed $50 million at Edward Jones
Puplava Financial Services joins a wave of independent RIAs moving to larger broker-dealers.
Broker won Wall Street Journal contest with his estimate of 306 votes for the Donald.
Donald Lee Watson Jr. allegedly claimed he produced more than $700,000 in revenue when hired last year.
Telling advisers to never assume enough is enough when it comes to research.
Firms' compliance manuals and contracts will be scrutinized to ensure employee protection.
Two industry leaders — Pershing Advisor Solutions CEO Mark Tibergien and Echelon Partners CEO Dan Seivert — disagree on what impact the regulation will have on the financial advice market.
Ash Narayan's right to use CFP certification temporarily suspended following SEC complaint
Plus: How Clinton and Trump won't save Social Security, more scrutiny for sales charges, and taking the 5% challenge.
The firm and owner Marc Broidy, of Beverly Hills, Calif., allegedly had more than $1.4 million of ill-gotten gains.
Firms shouldn't wait for an inspection notice from the SEC to begin fortifying their online systems.
David Hobson exploited inside information provided by his friend, who worked at a pharmaceutical company.
Profitability is up 27% since 2011 as firms become more efficient through technology
Markets and upcoming elections weigh heavily on their outlook.
Custodian offers five portfolios with investment selected by Morningstar professionals.
