Updated Saturday, April 25, 2015 as of 5:46 PM ET

Got a Succession Plan? State Regulators May Soon Require It

RBC Grabs Advisors With Combined $3.4M in Production

Ex-Cetera Owner to Take Majority Stake in Big LPL Practice

Online, But Trying to Be More Than Just a Robo

Russell the Latest to Unveil Digital Tools for Advisors

Marketing Tips: 3 Things Rock Star RIAs Get Right

RIA Who Must Pay $48M: I Wasn't a Fiduciary

Unmarried Couples? Use These Planning Strategies

Is Your Rollover Business at Risk Under Fiduciary Plan?

CFP Board Loses Second Chairman in 3 Years

Advisors on the Move: Morgan Stanley Loses $750M Team

SEC Panel Calls for Universal Background Check Database

Employee or Independent Channel? Give Clients What They Want

New Hampshire Regulators Latest to Pursue LPL Over Nontraded REITs

SEC Exam Director to Step Down

$12B Firm to RIAs: Sell Us Your Second Best

Focus Adds 45-Year-Old RIA

Firms Missing the Mark on Millennials’ Digital Expectations

Recruiters Outlook: The Best Next Moves for Advisors

Don't Panic, Says RJ Exec: Robos Won't Replace You

How Should Advisors Be Charging Now?

Young & Rich: Ready to Skip Advisors for Mobile Apps

RIA Deals Level Off as Advisors Choose Internal Moves

Ex-Wedbush Exec Wes Long Lands at $2.6B RIA

Advisor Productivity Is Rising. Here's How.

No Consensus on LearnVest Planners' Fate

After LearnVest Sale, What's Next for Industry's Big Players?

Fidelity's Purchase of eMoney Advisor: Why Reinvent the Wheel?

SEC's White Wants More Cops on the Beat

Vanguard's $10B Digital Juggernaut You Don't Know About

Defend Your Practice From the Robo Assault

CFP Board Names 19 CFPs With Bankruptcies

Don't Fear Beta Testing, App Developers Tell Banks

Software Strategy of Wealth Mgmt Startups: Give It Away

Betterment Is Flush With Cash and Confidence

Schwab Unveils Robo Advisor for RIAs

Quiz: How Honest Are You?

SEC Not Letting Up on RIAs

Wealth Management Push Yields Uneven Returns for Regional Banks

Sheryl Garrett Tells Planners: Sign Fiduciary Oath

Sparks Fly Between Schwab & Digital Rivals

Can IBD Advisors Be Fiduciaries?

Brokers Beware: New SEC Sweep to Zero-in on Retirement Practices

SEC Warns Firm Leaders on Cybersecurity Policies

Colony Snaps Up Fellow Focus Firm

Why RIA Advocates Still Fear FINRA Oversight

How to Attract Top Talent in a Sellers Market

Advisors on the Move: Merrill Grabs $1.2B Team

With New Hire, Raymond James Ramps Up West Coast Expansion

$500M Northern Trust Advisor Joins RIA

Fiduciary Backers Seek Advisor Input on New Standards

Veres to SEC: Leave Those RIAs Alone

Does 'Advisor' Spelling Change Your Role?

I Survived an SEC Audit

Banks Shop for RIAs

Advisors Fire Off on Fiduciary Proposal

What Fidelity Reorg Means for RIAs

When Supervising Advisors Goes Beyond Your Firm

Dynasty Grabs $800M Morgan Stanley Team

Regulatory Woes Ease for LPL

Betterment's Boost: $60 Million in New Funding

RIA Finds $4 Billion in Big Change

Jumbo LPL Firm Scoops Up Ex-Morgan Stanley Team

'SEC Approved'? Actually, a Ponzi Scheme

NorthStar to Sell Majority Stake to PE Firm

Retirement Offering Helps LPL Firm Lure Merrill Advisor

6 Ways to Appeal to Executive Clients

SEC Wants to Add 225 Examiners Through 2016 Budget

Hands-On Approach for Ex-Tiburon Principal's New Firm

Advisors on the Move: $700M Team Moves to Wells Fargo

New Best Practices Aim to Codify Advisors' Fiduciary Duty

What RIA Buyers Want to Know About Sellers

Can IBDs Hang On to Independent Advisors?

AMG Wealth Partners to Acquire $5.2B Baker Street Advisors

Breakaways, Banks & Wealth Managers Seen Leading RIA Deals in 2015

$225M Merrill Team Joins Snowden Lane

RBC Chases Rich & Famous in U.S. Banking Do-Over

You're Missing Wealthy Millennials, TD Survey Finds

RBC to Buy Parent of Troubled RIA for $5.4 Billion

Did Cetera Reps Help Push Schorsch Out?

Scouting Report: Ohio State QB Cardale Jones Can Pass, But Can He Plan?

Savant's Big Hedge Play: Buying a CPA Firm

SEC Examiners to Focus on Retirement Planning Issues

CFP Board, Camardas Wait on Judge's Ruling

After Deal, EP Wealth at $1.9 Billion AUM

Latest Succession Plan Twist: Veteran Advisor Launches Regional Aggregator

Buckingham Adds Women Investor Advocate Manisha Thakor

Wells Fargo Advisor Joins RIA

Latest Acquisition Pushes Mariner's AUM Past $12B

BNY Veteran Launches RIA, Taps Raymond James as Custodian

For Biggest RIAs, Saying No Has a High Price

Forecast: Big RIA Trends to Watch

Does Independence Have a Price?

Independent Assets Expected to Surpass Wirehouses in 2019

Impersonating Clients Yields Lifetime Bans for Advisor & Assistant

Focus and United Say They Won’t Go Public in 2015

Disciplinary Chief Exits CFP Board

Which Funds Are Too Risky for IRAs?

Ex-N.Y. Yankees: Our Advisors Stole Millions

4 Ways to Boost Growth: Fidelity Benchmarking Study

$300M Morgan Team Goes to Raymond James

Advisors on the Move: Raymond James Grabs $2B in Recruiting Spree

Driven by HNW, RIA Ranks Expected to Swell, Grab Market Share

Biggest Breakaways of 2014

Ex-Convergent Boss: I Invested in Zier's Other Fund

Clients Lost Millions in Hedge Fund Managed by Debt Collector, SEC Charges

Does 'Independence' Matter? RIA Custodians Shrug

Lebenthal Adds RIA, New Advisors

Heavy Lifting: How to Move a Billion-Dollar Book of Business

SEC Orders 3 Ex-LPL Employees to Pay More Than $1.5M

Billion-Dollar Club: Biggest Advisor Moves of 2014

HighTower Adds Merrill Advisor With $225M

FPC Renews Calls for User Fees to Fund SEC Exams

True Story: $3.5 Billion Advisor Once Lived on Credit

Tech Survey 2014: What's New Now?

Merger Moves BKD Unit Above $2 Billion

Which Robo Advisors Will Survive?

Performance Reviews That Don't Stink

Hybrid Model Drives Record Year for Triad

Veres: Give Up the 'Fiduciary' Fight

Advisors on the Move: Mega Team Leaves J.P. Morgan for Wells Fargo

Commonwealth Hit by $580,000 FINRA Decision

Focus Financial Climbs Past $80 Billion in Assets

Lebenthal Exec: Why Advisors Should Join Us

Wirehouse Veteran With $100M AUM Goes Independent Via Washington Wealth

You Get What You Pay For: ‘Robo’ Advisors Won’t Displace Traditional Advisors, Schwab CEO says

After Apparent CEO Suicide, 'Sharks Circling' Firm

Acquisition Expands RIA’s Midwestern Footprint

Convergent Client Funds Safe After CEO's Apparent Suicide, Chairman Says

Commonwealth Poaches LPL Advisor

Schwab Unveils 'Robo Advisor': No Fees for Investors, RIAs

Churning Reverses Course: When Your Clients Pay More for Fewer Trades

Succession: Can You Give Up Control?

Planning an Acquisition? Avoid These Missteps

SEC Exams: 5 Questions You'll Need to Get Right

Merrill Advisors With $270M AUM Join Snowden Lane

Steward Partners Pulls In $1.6M Wells Fargo Team

Should You Be Building Bond Ladders?

New Job Board for Independent Firms Launched

Advisory Services: How Do You Stack Up?

Wirehouse Advisors Lead in High-End Services, Study Shows

SEC Files Record Number of Enforcement Actions

New M&A Entry Using Alternatives to Woo RIAs

Avoid Getting Hacked: 3 Quick Tips

CFP Board Suspends Probe After Advisor Drops CFP

CFP Board Publishes List of CFP Bankruptcies

Real Advisors, Higher Fees: Is This Online RIA a Robo?

RIA Deals: How to Keep Clients Happy

Wealthfront Stakes Future on Gen Y Assets

New Partnership Eyed to Offer Financial Planning to Military

Advisors on the Move: Morgan Stanley Loses $750M Team
The April Issue is now online!


Industry Events

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