Portfolio

The SEC and other regulators are seeking information about the bank's use of proprietary products in its wealth management business, the company disclosed in a regulatory filing.

Maybe the Efficient Market purists have been mugged by reality. It looks like you can pick a winning money manager -- just go for one with a great long-term performance record.

While there's no magic bullet for withstanding an SEC inspection, if you are a sponsor of an alternative investment fund - or have a fund that utilizes similar investment strategies - here are some areas to consider.

Andrew Parish, publisher of the wealth management gossip site, admitted he failed to pay more than $341,000 in employment taxes for his recruiting business, Axiom Consulting Group.

A look at the best basic pay for advisors producing $2 million across the employee advisory channel.

Clients who want to roll over their spouses' IRA into their names can only do so if their spouses die and if they are properly named as beneficiaries; Plus, how to avoid running out of money in retirement.

For advisors whose clients want some of their assets in real property, the current rebound creates both opportunities and challenges. Want to understand these clients a little better? A recent survey took a deep look at investment real estate buyers and identified several characteristics that set them apart.

Openfolio has quickly grown into a community of more than 25,000 investors, all drawn to the idea of seeing what various members are investing in and comparing portfolios to measure how they are doing.

You're a financial advisor, not a doctor, but if you're advising older clients, you need to be able to spot cognitive declines.

"LPL's supervisory breakdowns resulted from a sustained failure to devote sufficient resources to compliance programs integral to numerous aspects of its business," said Brad Bennett, FINRA's executive vice president and enforcement chief.