A remarkably varied lineup of industry A-listers are odds-on to spark lively conversation at the compliance confab

It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story

The LPL-owned investments outsourcer may not replace CIO Nathan Sonnenberg and alternative investments director Robert Mileff

HSMC Wealth Management and its $40 million in assets is one of Mariner's smaller acquisitions of late as it looks to make smart, strategic buys

'King of the world' James Cameron was on hand to talk about the risk of not taking risks and an ex-IMF economist confirmed that there are plenty to go around

The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market

The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception

The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

Laser App Anywhere is, from its cloud, fundamentally different from the company's legacy desktop, server-based software products

The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed

Palladiem is now investing in a big sales talent to reap previously unsolicited clients

Mitigating factors are cited by the Division of Securities and the resigning NAPFA chair expresses appreciation

Fido and TD Ameritrade are on board with the RIA-owned custodian and trust company but Schwab is still weighing its options

The big $3.6-billion NYC RIA is looking to get cooler, smarter and more in touch with the entity that owns a major chunk of it

Matt Dillig's team is the Chicago aggregator's first 'get' from Credit Suisse, known for its superwealthy clients

The big broker-dealer also talks about big 401(k) plans and offers a couple of details about Fortigent

Using a newly purchased hybrid IBD-RIA as guinea pig, Innovative Equity Partners aims to make small IBDs a collective force to be reckoned with -- without sacrificing their individual identities

Shocked industry advocates are conflicted as to whether Rhoades should have stayed the course; in another industry shakeup, FPA's Marvin W. Tuttle announces he will step down

CONCERT sees CAIS catering to the $200 million-plus set while its current alts provider tends to those who may like their hedge funds in mutual-fund wraps

Engineer-by-training Sean Hanlon's unconventional purchase of IAS and its $33 billion of assets administered is worth keeping an eye on

Brian Hamburger debunks advertising myths that scare RIAs from showing off their tracks record

The gains of the last 20 years could be scuttled if advisors don't band together to raise the standards of training and education

The longtime Fidelity and Schwab liaison to registered investment advisors has a new mission -- RBC's mission is less obvious as its chief sales guy to RIAs departs

Thinking the wirehouse model was broke not wanting to fix it LLBH has parlayed $450 million of assets to nearly $1 billion

The changing challenge of serving the ultra-affluent is demanding skills that look more like Big Four accounting than the four wirehouses

With many parallels to its $2-billion AFG win a couple weeks ago, LPL hoovers Lincoln and Ameriprise reps -- and a HNW RIA -- in one big go

3 ways to slay your marketing adversaries by using Google ad words with military precision to maximum effect

The RIA custodian is creating -- and third parties are applauding -- a time-saving, low-error way to trade and rebalance

The peer group for the ultra-affluent hired Julie Garella, investment banker consultant, to chair (and grow) membership in the sudden-wealth zone of America

The head of a latter-day Swiss Family Robinson has been running his firm from a 50-foot catamaran for more than two years -- with unexpected results

After Michael Brown earned CPA nirvana he realized what he really wanted to do -- become an IA

Whether Romney or Obama is your man there's no upside in sharing that information with your clients -- but feel free to share about the bigger picture

The Waltham, Mass.--based IBD believes this is LPL's soft underbelly because small-and -familial is why many advisors joined the old Linsco/Private Ledger from wirehouses in the first place

CapGroup Advisors began to subadvise fellow RIAs and make its own UMA products, and Callan saw it as a conflict; the RIA agreed

The city's sheer wealth and jungle-like powers of regeneration alone mean that it can stomp San Francisco

The wirehouse's charges seem on target on paper but are they penny rational and pound foolish?

House panel chief dives back into the oversight fray, but confusion persists over timing, intentions

In his response to “Financial Advisers, Police Yourselves” the RIA lawyer derides the confusing message and demands cops, not community watch

TAG Associates, founded to manage big assets of a Warner Communications billionaire in 1983, is growing locomotive style by eschewing most outsourcing

Only 5% of advisors report significant traffic to their websites, but the reasons why are not mysterious

Joe Russo's choice reframes LPL's identity from a conventional IBD to a central bureau that can serve the regional advisor-servicing companies in a growing number of instances

It was a year of saying 'yes' to esteemed RIA business visitors to Mill Valley and saying 'no' to a world of distracting 'collaborators'

Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on

These days there are more varieties and combinations of investments than selections on a Starbucks menu -- but that's not necessarily a good thing

The former Merrill Lynch product manager will work from Jersey City and face the challenge of selling the not-so-soft landing of becoming an RIA

The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

The low price-per-rep may reflect the fact that few of Woodbury's advisors are high-end producers with sophisticated clients, one analyst says