Last year's 123 deals exceeded previous annual record in 2014 by 37%
Failure to follow the applicable rules can turn into a public enforcement action.
Most 'elite' advisers are looking to grow through personalized service to ultra-wealthy and institutional clients.
Firms embracing automated advice are positioning themselves to capture new client segments. By 2018, nearly one-third of registered investment advisers will have a robo-offering.
Consultant says transactions for large planning practices bodes well for any size firm looking to sell.
Firms reluctant to sell now may struggle later to find a merger partner to survive.
Registered investment advisory firms have been merging at swift pace after record-setting 2015
Lawsuits filed against the Labor Department's regulation expose conflicts in financial advice.
Shine a light on the many talented, successful women who serve as role models and leaders in the industry.
Advisers aren't placing a value on financial planning services when their fees are based solely on AUM.
Many professional certification programs have long demanded their advisers act in clients' best interests, and not just when working with retirement accounts.
The merger also creates a succession plan for RAV Financial founder Bob Valente.
Simply playing the fiduciary card to win over investors may not work the way it did in the past.
Already expected to spur consolidation among broker-dealers, the DOL fiduciary rule could also hasten RIA mergers.
Campanale, Grillo and Lane form firm to attract indie advisers
In about a year from now, 21 investment advisory firms representing about $518 million of assets will be required to switch to a state registration from the one they now hold with the SEC.
SEC cracks down on claiming Wyoming location but practicing elsewhere.
Clients accused Lee Weiss of recommending an unsuitable investment in a Polish tobacco company.
The wealth manager overbilled for investments in REITs and BDCs
Here are some of the most critical and potentially damaging misconceptions held by compliance professionals.
