Advisers who pull their fee from nonqualified annuities could cause a taxable event for their clients.
Almost three-quarters increased cybersecurity compliance testing in the past year.
The Fed's first interest-rate cut in a decade has advisers warning against chasing the bait of risk over safety.
Hybrid robo launched in March charges one-time planning fee plus $30 a month.
GRP, an LPL super-OSJ, would represent the latest in a flurry of acquisitions for Hub.
Tax incentives fuel sales and drive share prices up by double and triple digits.
Agency director says investment advisers must mitigate or eliminate conflicts.
The purchase of the Phoenix-based RIA adds $283 million in AUM
Sandler O'Neill is a leading investment bank in the financial services industry.
A top critic charges the SEC head with 'gamesmanship' and creating a 'false narrative.'
Momentum is on the side of legalization at the federal level
Echelon Partners is predicting M&A activity in RIA space will be up 11% in 2019.
Changes to forward-looking analysts' ratings could lead to more downgrades than upgrades
Some define it as starting their own firm, while others insist it means having full control over investment products and client relationships
Finra's recent guidance on firms' communications with clients of transitioning advisers recognizes the importance of choice and continuity of service for clients.
SEC and Finra provide information on how securities rules apply to some of the complicated compliance issues posed by digital tokens.
QP Wealth Management specializes in serving wealthy clients and alternative investments.
Spreading ownership across the advisory firm keeps employees happy and engaged while offering a clean exit for the owners.
TD Ameritrade Institutional survey predicts continuation of trend toward independence
Deal for John D. Dovich & Associates in Cincinnati adds $600 million in AUM.
