Portfolio

Elizabeth Bramwell, the founding manager of Gabelli & Co.’s growth mutual fund who quit to form her own asset management firm and became a beacon for women in the field, has died. She was 74.

The latest earnings reports from Raymond James, Ameriprise, Stifel and RBC show how these key regional broker-dealers measure up.

Learn how to earn money through IRA rollover options; higher earners should be aware of six mistakes that could result in higher costs and taxes; plus cheaper retirement plans for small firms with help of a new tech startup?

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

Getting to intimately know the business and culture of CapGroup Advisors was key to this week's merger, says Michael Nathanson, chairman and chief executive of Colony Group.

This week's items of note includes a Fed warning on potential misperceptions of liquidity with ETFs, a report on clients defecting at an unprecedented rate from Pimco's developing-nation mutual funds, a study showing underlying investment fees have declined at small retirement plans, and exchange operator BATS naming a new CEO.

Nasdaq OMX is making a push to grab more ETN listings, challenging long- time market leader NYSE Arca for what can be lucrative listing and trading fees.

Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.