When going independent, your payouts rise substantially. But what about your compliance responsibilities?

Going indie with your book without going to court

Howard Schnoll and Richard Schilffarth joined RBC Dain Rauscher's Milwaukee office, and have brought more than $4 billion in assets under management with them. The team, which includes six additional members, recently departed from Milwaukee-based...

It may be uncomfortable but conversations about death are important - particularly for elderly clients with "interesting" family dynamics

Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms

Some advisors have long ignored parts of ERISA when consulting participants of 401(k) plans. Now they don't have to. Still, the Street is confused over what the new pension laws really mean when it comes to reirement advice

You might have to move to another brokerage house or go independent to offer your better clients the kind of treatment tehy want and can afford ... but aren't getting

The U.S. Senate passed the Pension Protection Act, which lawmakers hope will spur businesses to improve existing employer-sponsored retirement plans, on Thursday. There is also a special gift to financial advisors in the bill, which passed the...

Rick Frueh, chairman and CEO of GunnAllen Financial, an independent full-service brokerage firm in Tampa, Fla., has been busy of late poaching senior managers from rival firms.

After two years of operating an independent practice, a seasoned advisor is ready to take on two partners. He wants the experts to tell him how they should divvy up the pot.