Portfolio

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

The firm grabbed a team with $2.5 million in production for its independent broker-dealer channel.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.

Advisors and clients are gravitating toward the RIA model -- a trend that experts expect to continue.

For wealthy and high-profile clients, privacy can be hard to attain. But most people don't want their personal lives made public, especially when they are going through a divorce. Here's how planners can help.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.

RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts.

Vanguard Group, the third- largest U.S. provider of exchange-traded funds, has asked regulators for permission to open actively-managed ETFs.

After variable annuity sales plunged in 2012, expectations are high for the coming years for new players and higher sales.

The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.