Donna M. Mitchell

The BNY Mellon unit is beefing up its global research offerings for its registered investment advisor, broker-dealer and hedge fund customers.

Until the Investment Adviser Registration Depository is adapted to handle the influx of advisors converting to state registration, not much will get done.

Forget satisfying lifestyle choices: Many investors will have to adjust their retirement expectations just to secure the necessities, according to a study by Sun Life.

Corporate pension plans have about $2 trillion in assets, and $200 billion to $400 billion could be in play in the next several years.

Along with cool-headed holistic advice, of course, investment management is probably the most important component of a financial planning and advisory practice.

Only 13% of investors surveyed said they were very confident they would have accumulated money enough by retirement to live comfortably.

FSC credited Schafly with stabilizing and accelerating advisor retention.

Advisors are essentially small business owners, whose passion for their profession can easily consume everything else in their lives.

Morningstar said its hedge fund database saw outflows of $1.5 billion, the second consecutive month of outflows.

The short-selling fine comes after Southwest was nabbed for improperly soliciting municipal bond business.

Certainly, communication breakdowns are headaches. But when political tumult grips North Africa and the Middle East, and the earthquake and tsunami disasters in Japan actually go nuclear, make sure that there are no breakdowns between your practice and your clients.

A federal judge in Dallas ruled against a $21 million settlement between Securities America and class action plaintiffs.

Millionaires are a complex bunch. Although a vast majority of them say they remain unshaken by the market downturn, according to a recent Fidelity Investments survey, a significant portion also have a negative outlook for the U.S. economy, currently.

Advisors hate it when ancillary tasks eat up too much of their time, because it robs them of the most enjoyable part of doing their jobs—working directly with clients!

A 1.7% drop in the Nikkei is not devastation. Many advisors are already suggesting that by Monday morning, the financial markets will have priced it in as a minor bump in a global bull market.

Commonwealth Cares currently has a little under $1 million to support its initiatives.

Empowering the SEC to adequately monitor markets would help restore some faith in the U.S. capital markets, according to the industry group.

According to PIMCO, consultants said that active management makes the most sense for all asset classes, except large-cap U.S. equities.

RIAs are embracing the idea of shaping their compliance procedures around what could go wrong.

The industry and the general public might think they understand what defines financial planning, but the existing definitions are so broad that consumers do not always know what to expect from planning professionals.