In many circumstances, commission-based services offer clients a more economical and practical way to meet investment goals.
Three-person Guardian Financial Partners is based in Orange, Calif.
The DOL also hinted that clean shares may offer an avenue for an additional rule exemption, potentially as a replacement or alternative to BICE.
Many advisory firms have been progressing in changes required to meet the new regulation, despite the first delay and a broader review that continues.
Advisers forming RIA in West Palm Beach, Fla.
Interest in aggregator firms focused on 401(k) plans has grown, but advisers must weigh what they'd be sacrificing and gaining through such arrangements.
Five-person Holloway Harman & Associates is based in Kansas City, Mo.
$16.5 billion RIA marks the 10th deal this year and largest ever for the roll-up firm
Smaller firms are becoming bigger targets of banks, consolidators and larger RIAs.
With less than 20% market share, banks promote safety in targeting high-end RIAs.
The new firm, Executive Wealth Group, will custody assets with Raymond James.
New lending program marks Dynasty's first foray into ownership stake.
Alaska adviser adopts an unorthodox schedule to spend more time with his family.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
Capping pass-through entity taxes at 15% would help advisers and many of their clients.
Four breakaways in Colorado Springs sign on with HighTower.
TD is dropping its fees, while Fidelity is giving is RIAs fewer options on how to pay for referrals.
KKR, Stone Point investment puts value of RIA roll-up at $2B, but doesn't answer the question of whether an IPO would be successful.
Infusion from Stone Point Capital and KKR values RIA consolidator at $2 billion.
Next Capital Management is led by a Goldman alum.
