Portfolio

Stifel's CEO says his firm is enlarging its footprint in the independent space because clients are migrating there.

The news that Mohamed El-Erian has his portfolio largely in cash has many investors wondering if they should follow suit. But what may make sense for a mega- millionaire’s portfolio isn’t necessarily a good move for people with much more modest portfolios.

Email marketing is stickier than social media and more precise than a blog post. Here's how advisors can get it right.

Funds focusing specifically on dividend payers offer narrower exposure than typical equity-income or growth-and-income funds.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Boomers who fail to create an estate plan will create trouble for their heirs; Plus, three questions to ask before converting to a Roth IRA.

The wealth management business is so important to banks they're willing to pay top dollar for their wealth execs. Here are eight who rank among the five highest paid officers at their respective institutions.

As it launches instant payments using Dwolla, BBVA Compass joins a growing list of banks that are seeking "internal disruption" by giving innovative tech companies access to their inner workings.

As older clients start drawing down their wealth, the industry needs younger investors to ensure its future, says Janney Montgomery Scott CEO Timothy Scheve.

If the Financial Stability Oversight Council was hoping for any kind of consensus on whether and how it should regulate asset management companies, the feedback it has received on its request for comment is likely disappointing.