Hundreds of planned and in-process breakaways are reassessed after keeper of the list, Bressler, Amery, & Ross, sat on the change for a week but a silver lining is already emerging

Passing down an RIA practice is barely easier than bequeathing a soul and he writes 'G2' accordingly

The additional 60-day extension lets advisors breathe but even Wall Street analysts wonder just how far TD Ameritrade should go in inflaming 'consternation' of 'golden goose' RIAs

Thomas H. Lee Partners likes financial firms -- especially ones with big cash flow and potential for operational efficiencies

Back against the wall, the ex-F-Squared CEO hopes for leniency because 'no investors suffered losses' as SEC seeks $11-million disgorgement and $150K penalty

Mariner Holdings CEO banks tidy gain as he dumps his 67% stake in $20 billion-AUM Tortoise that had just $1.3 billion of AUM when he bought it

The blogger and RIA platform owner offered three compromises and one request for a deadline extension but the RIA custodian is thus far having none of it

CEO Karl Roessner cites his firm's high demand for an RIA foothold in a low-supply market to counter RIAs and wirehouses preying on E*Trade's HNW investors

The New York-based discount broker buys Trust Company of America with plans to rebrand it and invest heavily in its technology

The Omaha-based broker's roll-out of new ETF platform also removes Morningstar as ETF-picker as new State Street ultra-cheap fund line-up gets the Vanguard/iShares spoils

Using DOL rule as spur, the Minneapolis bank conjoins with hundreds of small IBDs with tantalizing promise of placing them on the same footing as the biggest self-clearing firms

Vestwell attracts second big FMR seed capital tranche by co-opting advisors to go where the Boston 401(k) king is most challenged -- very small plan sponsors

The St. Petersburg, Fla.-based broker-dealer took unabashed aim at the brokerage model as Tom Giacchetti warned RIAs about an SEC no longer content with firing warning shots

Compliance experts and advisors throw down the gauntlet on CRM chat challenges but CEO/CTO Brian McLaughlin is unfazed

Although its theme was elusive, the Denver-based advocacy group and standard-setter drew 1,800 advisors to the Country-Western capital

RIAs run out of superlatives for the eight-year exec's ability to 'get it' at both the intrapreneurial and entrepreneurial level as he ascends to president of $2.3-trillion Fidelity Institutional

As sales chatter hits a fever pitch on the conference cocktail party circuit, the Chicago roll-up affiliates with a white shoe recruit and gains some needed business-as-usual credibility

The Radnor, Pa.-based software firm drew 800 attendees with advisors knowing they'd get sun, fun and Mike Durbin thrown in for good measure

Cynthia Loh puts fresh face on Schwab Intelligent Portfolios and Schwab Intelligent Advisory as Betterment puts out a help wanted sign

The $2-trillion platform consolidation stunned open architecture-minded CRM-users who suspect bundling's advantages may quickly turn to diminishing returns