This event is now available on-demand. If you have previously registered for this event please click here and login using the email that you used to register. Many advisors think about starting their ...

This is the 13th installment in a Financial Planning series by Chief Correspondent Tobias Salinger on how to build a successful RIA. See the previous stories here, or find them by following Salinger ...

This story is the first in a series Financial Planning Chief Correspondent Tobias Salinger is writing on how to build a successful RIA. Check back weekly for the next story, or find it by following ...

A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

Cleves Delp, an LPL Financial-affiliated advisor in Maumee, Mo., with $1.5 billion in assets under management, says he's been looking into starting his own RIA. “When you cross the billion dollar mark ...

If you’re like many advisors, a good portion of your book may be in managed accounts. As such, when you’re considering leaving to start an RIA or join one, it’s critical to know how to properly ...

In order to work with clients, registered investment advisors (RIAs) must register with the Securities and Exchange Commission (SEC) or state securities regulatory agencies. Regardless of where ...

For years, the "Big Four" RIA custodial platforms were Charles Schwab, TDAmeritrade, Fidelity, and Pershing. The notable similarity between all four platforms was that they had each arisen out of ...