Going independent

Many advisors cite “improving client service” as the catalyst for a move — but knowing what the real impact will be is critical.

Joining an existing RIA has its appeal, whether as a final destination or as a way station on the path to full independence.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

In J.D. Power’s annual survey, independent and employee reps gave wealth managers a higher satisfaction index than last year.

The regulator’s annual industry snapshot and financial report offer a nuanced picture of wealth management’s most significant dividing line.

Here's what you missed in wealth management.

The 10-person practice, rebranded as Puzzle Wealth Solutions, is led by CEO John Klaas and COO David Millington.

The trio of advisors leaving Commonwealth for the regional firm are its largest “reverse breakaways” ever.

Concurrent is catering to breakaway teams assessing their options after back-office frustrations during the coronavirus, co-founder Mike Hlavek says.