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.

Three owners of brokerages are campaigning to be elected to the Financial Industry Regulatory Authority’s board of governors, the group that oversees Wall Street's regulator, with a similar messages: Stop antagonizing smaller firms...

Nearly half of beneficiaries are overpaid

A U.S. federal judge on Monday granted the Certified Financial Planning Board’s bid to throw out a lawsuit filed by two Florida-based advisors, challenging the organization’s decision to sanction the two for their use of...

Globally, assets under management hit a record high of $74 trillion in 2014, yet asset managers are making less on every dollar invested; net revenues fell 0.8 basis points, on an asset-adjusted basis, from 2013, according to the Boston Consultin...

Do not try this at home. | Photo via The Post Charleston, S.C.-based Don Alderman, an advisor with Wells Fargo Advisors, plans to compete in the Molokai 2 Oahu Paddleboard World Championships in Hawaii on July 26. And he'll do it on his k...

It’s not unusual for a financial services firm to host an event to drum up business and sign clients. But Anderson Financial’s idea of a client event is anything but “strictly corporate.&rdquo...

The trailers for the new HBO show “Ballers” may be the wealth management industry's best tool for recruiting new advisers...