Two executives with deep roots in the registered investment advisor industry are looking to aggregate a broad swath of RIAs in the latest effort to squeeze better deals out of custodians and fund managers.

A $4 million revenue producing team from Wells Fargo Advisors Financial Network (FiNet) has jumped ship to Raymond James Financial Services, the firm’s independent contractor unit.

Many financial advisors fail to consistently provide their affluent clients with the high level of service that they claim to offer. Advisors who take the concept of “client experience” seriously develop what I refer to as a client...

First, you need to determine the category or sector to which you want exposure.

A Financial Industry Regulatory Authority arbitration panel ruled Tuesday that Merrill must pay $10 million to two brokers, Meri Ramazio and Tamara Smolchek, for preventing them from collecting deferred compensation when they left after Bank of...

American Funds, which has notoriously and historically been media-shy, is now trying to change that, at least with advisor-facing publications. And there’s good reason for the change.

Critics of a fiduciary standard for stockbrokers beware: A recent study released in early March suggests that application of a fiduciary standard to the broker/dealer model wouldn’t have the terrible...