Tony Velasquez, who met his mentor and first boss on the links, has advice for captive brokers -- don't let the B-Ds scare you into staying!

The big Columbus, Ohio national insurer can certainly use a fiduciary annuity -- if there is such a thing -- but ROI is impetus number one

Wells Fargo Advisors and FiNet ADVs warn of some cross-selling as RIAs eye Wells Fargo to see if the only wirehouse attempt to support independents will succeed, fail or end in confusion

Bill Sowell's first order of business is to keep the advisor crew on board, using as one sop the familiarity of CONCERT's proprietary CRM

Four former Atherton Lane advisors form Lyell Wealth Management and say they never promised anything to their employer's acquirng mega-bank

The brokerage unit of the giant McLean, Va.-based bank is hiring energetically, and following a model not dissimilar to Wells Fargo

A half-full message on DOL rules is the federal mandate to ask clients about held-away assets as a matter of fiduciary responsibility

James Osborne confesses his guilty desire to make his practice more exciting and why he resists the temptations of adrenaline highs on behalf of clients

The Redwood City robo bets big on an ex-Google engineering whiz amid a Betterment onslaught and after a period of high-profile departures

CEO BIll Harris says part of the secret is hiring human advisors to stoke referrals

Recent SEC woes are forcing the hands of owners of the 'wirehouse-lite' platform that allegedly raised capital in an improper fashion

Despite the team's three-decade age span, the Morgan Stanley veterans shared a vision for a practice -- one without a roll-up, outsourcer or dictates from New York.

Gigi Guerra was the 75,000th CFP recipient and she captured an air of revitalization the Financial Planning Association will need to survive and thrive amid massive industry changes

The move is a clear diversionary tactic on the SEC's part to avoid flexing its muscles and withhold licenses

The Chicago event connected traders, index providers, issuers, marketers, PR, distributors -- and a knee-capped Liz Ann Sonders -- all trying to find footing in an everything-up-for-grabs playing field

With advisors demanding to get back in the driver's seat, the robo's RIA chief, Tom Kimberly goes for two big-name model portfolio strategists under the 'Betterment for Advisors' brand

After a trifecta of traumas, Mark Hurley steps in to fund and help construct deal with Pathstone and PagnatoKarp; cuts a deal with four younger advisors to start segmented division

From 7,000 feet above sea level, 90 RIA software types breathed thin air en route to zapping redundant portals

The Morningstar CEO, 60, still owns 56% of the Chicago data firm's stock and his plan to 'read more books' needs to be examined in that light

As the Boston IBD's annus horribilis continues unabated, PE-friendly directors are joining the board with little opposition

The 401(k) lawsuit in the name of 38,000 participants resumes the parade of lawsuits against the giant broker-dealer based on revenue sharing arrangements

A former secret service agent and Merrill Lynch exec, Robert Dineen is known for leading by example and delivering results

Too much hustle and ambition can be as harmful as too little, according Jasen Yang's closely argued analysis