Updated Friday, October 24, 2014 as of 2:56 PM ET
Succession: Can You Give Up Control?
When it's time to give up control of your firm, will you know what to do?
More in RIAs
What questions are advisors not asking when buying a firm? more »
The SEC is cracking down on advisors. Here are a few things advisors must know how to answer when examiners come calling. more »
Independent firm Snowden Lane Partners recruited another wirehouse advisor team, this time from Merrill Lynch. more »
A Wells Fargo advisor team that managed $200 million in assets has left to join Steward Partners, an independent firm founded a year ago by former wirehouse managers. more »
Do the instruments make sense in an low-rate environment? And if so, should you build them in-house? Get tips from fixed-income experts. more »
Caleb Brown and Michael Kitces, founders of New Planner Recruiting, have launched of a new website that focuses exclusively on job opportunities with independent financial planning firms. more »
How do the services you offer compare to what clients of advisors across the industry are receiving? A new study of 4,000 advisors by Cerulli Associates tracks the planning services clients receive across all advisor channels. more »
Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates. more »
Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.” more »
Aequitas Capital is hoping to woo advisors with an unusual but potentially potent pitch: its expertise in alternative investments. more »
From stolen cell phones to email scammers and hackers, advisors face numerous threats to the security of sensitive client data. Here are a few simple ways advisors can avoid getting hacked. more »
CFP Board drops investigation into activist planner after he drops CFP certification. more »
The list includes 20 CFPs with bankruptcies dating back to March 2009; none are subject to disciplinary action. more »
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