Industry

Some legal experts say RIAs are not doing enough to comply with the new rule, especially when it comes to rollover advice.

We get to choose for whom we serve as allies, but creating equitable and inclusive cultures requires us to be so for everyone.

The mergers, acquisitions and advisor moves you may have missed that were announced the week of April 5–9, 2021.

Advisor Alfredo Garcia decided to move to Snowden Lane after Wells Fargo announced in January it would stop catering to international clients, which make up a majority of his book.

The former United Capital has lost about 8% of its individual clients even as it gained in the HNW segment and overall AUM.

Advisor Mark Mitamura says Integrated Partners will help provide more services to his business-owner clients.

Head of Strategic Initiatives Chris Paulitz calls access to low-cost individualized plans 'the future of health care' for independent advisors.

While the rules may not have changed, it appears the consequences have—and advisors are feeling more vulnerable than ever.