Portfolio

The Securities and Exchange Commission last week barred an Arizona-based mutual fund manager from the securities industry for failing to follow his own prospectus, which led to his fund’s collapse.

ALPS last week unveiled its exchange-traded fund joint venture with Goldman Sachs in the form of four new ETFs.

The combined assets of the nation’s exchange-traded funds rose in November by $26.06 billion, or 2.1%, to $1.295 trillion.in November, according to data from the Investment Company Institute.

This week, municipal bond funds saw their largest outflows since January 2011 and the fifth largest on record.

With 2012 coming to an end and 2013 just on the horizon, many advisors are doing what they can to prepare their business for the New Year.

When doing their Christmas shopping this year, advisors didn't forget their clients. And some are coming up with unique ways of rewarding the loyalty of their closest accounts. It starts with a card and gets more involved (and more pricey) from there. See what some clients are finding under their tree this season.

Samson Capital Advisors has launched its maiden mutual fund, a currency offering dubbed the Samson STRONG Nations Currency Fund.

From social media’s growing influence in wealth management firms, to a look at the top 40 advisors under 40, Wall Street has undergone some rapid changes in 2012.

The U.S. News & World Report today named its mutual fund winners for 2012, including a once-fallen star manager and a mutual fund trade group.

From the Top 50 bank advisors of the year to major acquisitions in the banking space, 2012 has been a roller-coaster ride for advisors in the the bank channel.