Portfolio

The FTC wants buyers and sellers to identify their largest shareholders, the extent of their influence and any communications they’ve had, sources say.

While there are strategies to help reduce risk, clients should recognize the order of investment returns is crucially important, an expert writes.

If these black financial advisors meet the goal, it will defy the industry's stark racial disparities: early career growth at that level just “doesn't happen in our demographic,” one partner says.

The promotions positions Jim’s son Nathaniel Simons to assume his father’s role as chairman under a succession plan that began about a decade ago.

In the first episode of Financial Planning's new podcast series, Tobias Salinger talks with advisor Dasarte Yarnway about how he “fought and clawed” his way into the profession and discusses the ambitious goals he’s working toward for his RIA, as well as the industry.

Many pre-retirees leave the workforce sooner than anticipated as a result of various factors, such as job loss and illness.

“It’s no longer about coming to market and getting funding with some kind of novel pitch and seeing if it sticks,” says an industry analyst.

“Investment allocations can differ from one fund to another, and so do the expense ratios,” an expert cautions.

Tensions between buyers and sellers of advisory firms are surfacing, according to a study.

The move expands the manager’s commission-free platform, which has included all mutual funds since 1977 and all ETFs since 2010.