The IBD’s year-old training program has become, for some, a place to embed junior advisors with acquisition targets.

In trial, the Securities and Exchange Commission said the commissions generated by Donald J. Fowler were so high that clients would need a 142% return to break even.

Xtiva Chief Product Officer Jeff Mardsen explores the ways in which advisor compensation models are shifting away from being purely based on sales revenue.

Governments charge user fees for parks, roads and other infrastructure. Why not do the same for the financial system?

The secret is to emotionally connect with each of your top clients.

A survey showed that 66% of investors age 30 or younger prefer to use a single company for all their financial needs.

Should all your clients be accredited? It’s under consideration, according to an SEC concept release. 

The SEC made a substantial change to its Customer Relationship Summary that largely went under the radar: the removal of the word "fiduciary" from mandated language RIAs must use to describe their standard of conduct.