Spotlight on M&A (Video)
By Wells Fargo Advisors Financial Network (sponsored)As independent financial advisors seek growth, panelists explain why they are using M&A as a key strategy for expansion. Building their books of business…
July 12, 2023
Common Fears of Going Independent (Video)A common refrain from independent financial advisors after they transitioned to independence is: "Why didn't I do this sooner?" For those that have made…
July 12, 2023
How Independence Gives Advisors Room for Growth (Video)One of the keys to creating a successful independent business is knowing how to grow. Whether they're attracting clients, hiring employees, or selecting…
July 10, 2023
How Independent Advisors Tackle Marketing and Compliance (Video)Marketing and compliance can feel like obstacles to those thinking about going independent. Here's how several financial advisors tackled these issues…
July 10, 2023
What Makes the Independent Model Different? (Video)Running an independent financial business means advisors are CEOs, HR directors, and customer service reps all rolled into one. Here's what a typical…
June 28, 2023
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC RoundupA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
May 10, 2023
Climate Impact Rule Likely on the Ropes: SEC RoundupThe SEC didn't adequately consider whether investors even care about climate disclosures, former commissioner Paul Atkins says.