Portfolio

The regulator’s expanding number of share-class cases fill in the details it says have been missing from Form ADV disclosures about conflicts of interest.

Technology tools are pitched as time savers, but that’s not how advisors are actually using them.

Broadly, hedge funds lost about 0.1% last month, paring gains for the year to about 6.2%, data show.

New recruits hailed from firms including Wells Fargo, Merrill Lynch and Raymond James.

The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.

Despite recent rebranding efforts, the EventShares fund hasn’t seen an inflow since May.

The country’s biggest RIA has already lost nearly $1 billion after its founder made inappropriate comments.

Retirees often only take distributions when they are forced to do so because of the IRS’ RMD rules, an expert says.

Independent investment platforms are projected to lose market share to larger entrants, according to industry data.

In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.