Are you breaking the rules? | Volodymyr Krasyuk/iStock/Thinkstock Advisors are told over and over how important it is to have an online presence, but many are forgetting about compliance when building their websites, leaving them exposed t...

This week’s episode of HBO’s Ballers serves as an extreme example of how not to handle client relations and the dangers of failing to maintain professionalism. (Warning, spoilers ahead.) ...

President Barack Obama wants to make it easier for Americans to save for retirement, announcing an expansion of state retirement plans and reiterating his mission to crack down on brokers’ conflicts of interest in the retirement advice...

Because that's not showy. | Copyright Justin Sullivan, Getty Images A rare consequence of the financial crisis in Greece? The rich in that country are getting shy about flaunting their wealth. According to CNBC, wealthy Greeks are keeping ...

China's CITIC Group Corporation is in negotiations to acquire Russell Investments from London Stock Exchange Group Plc (LSE.L) in what is expected to be a roughly $1.8 billion deal, according to people familiar with the matter...

The chase never ends. | Medioimages/Photodisc/Valueline/Thinkstock Wealth management has been a bright spot for investment banks and large institutions over the last few years. But operational challenges are starting to crop up; in fact, t...

With advisors actively mobilized against the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to investors with a new initiative that gives consumers a chance to weigh in...

As Craig Iskowitz of the Ezra Group points out, Cerulli research shows investment portfolios managed by financial advisors underperform those they can get through the home office, but yet Rep as Portfolio Manager programs are the fastest growing...

Three years ago, state examiners supplanted the SEC as overseers for thousands of mid-level RIAs, prompting dire warnings of death by inept bureaucracy. What actually happened? These advisors lived to tell the tale. 

The independent channel is still the fastest growing advisory model, a trend that should continue despite the rise of robo-assisted, do-it-yourself investors.