Independent advisors

The owner of RIA aggregator Mercer Advisors has pledged to maintain the IBD network’s current structure under the deal.

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

Forty-one percent of client-facing finance workers have had negative experiences that “still keep them up at night,” a Schwab survey finds.

Kestra Private Wealth Services CEO Rob Bartenstein says the new practice makes the fourth new office added this year by the hybrid RIA.

Which wirehouse offers advisors the most freedom? Which offers the least? And when should advisors shun the channel and break away? Rick Rummage elaborates on the issues discussed at our Recruiters Roundtable.

The uncertainly of regulation and their own survival is at the root of advisors’ stress, but there are also some positives of the job.

A massive acquisition also helped boost the No. 1 IBD’s headcount by 833 advisors year-over-year to 15,210.

The stresses of the job practically demand that we have people to confide in when the going gets rough, Michael Kitces writes.