Donna M. Mitchell

The proceeds will be used in areas that Jefferson National anticipates will translate into growth.

Mike Anderson has held a string of high-level positions at financial services firms, including president of Accutrade, a subsidiary of TD Ameritrade Holding, as well as TD Ameritrade itself.

Advisors can run taxable gain thresholds, estimate the tax implications of certain trades, harvest tax losses and continually monitor portfolios.

The offering gives 401(k) plan participants access to index mutual funds with low operating expenses as an alternative to more expensive actively managed funds typically found in most 401(k) plans.

The fund invests at least 80% of the value of its net assets in a diverse equity portfolio, with a focus on larger companies with market capitalizations equal to or more than $1 billion.

Among the 27.2% of IMCA members who are independent, 14.2% are RIAs, 7.7% are dually registered and almost 85% of IMCA advisors and consultant provide fee-only or fee-based advice.

2011 may be remembered for its Walls Street thrills and spills, but the merger and acquisition deals made a huge mark on Main Street and the RIA business. Here are 10 unions that reshaped the RIA landscape.

Most industry professionals who know their mobile apps say every firm should have one, especially those that claim to be serious about being accessible to their clients.

Service providers are always looking for ways to serve RIAs, including managing client assets, even if it means buying other firms to gain the expertise.

The acquisition of Legent Clearing gives the 2012 merger and acquisition period a strong start.

Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions. But Leia Farmer, the deputy chief compliance officer at Securities America, isn't afraid.

Fortigent, whose 90 advisory firm clients oversee more than $50 billion in high-net-worth assets, shores up LPL Financial’s growing share of high-net-worth business.

Financial planners who work with households with $1 million in investable assets say the rule makes sense.

About 65% of respondents to an industry survey identified the cost of benefits most often as having the biggest impact on compensation decisions over the past year. The findings could present opportunities for financial planners and advisors who work with retirement plan sponsors.

Ameriprise Financial hires independent teams in Southern California and Oklahoma, while two advisors join in New Jersey.

The funds might include both domestic and U.S.-listed foreign companies, a feature that allows for a more global representation.

Of all the social media sites that Aite Group followed in its study, only the use of LinkedIn grew between 2009 and 2011.

Reliance Trust, a wealth management trust and services firm based in Atlanta with $87 billion in AUM, has appointed Richard F. Curcio and Ward Curtis to its board of directors.

Lots of older clients are surprised to find themselves starting new careers. Here's a road map planners can use to help them.

A Dallas district court upheld a $1.7 million FINRA arbitration panel’s penalty against Raymond James Financial Services over how a former independent contractor handled the finances of an elderly Texas man and the estate of his deceased wife.