Portfolio

Two industry veterans joined the fast growing regional brokerage firm.

How advisers can prepare for renewed interest in alternatives.

"There are ways to potentially be cute with it. You could potentially cut out retirement business from the back-end bonuses," says an ex-Merrill Lynch executive who works in the independent space. "Cute doesn't usually work when it comes to regulators."

Best ways to bring two firms — and distinct cultures — together.

Best ways to bring two firms — and distinct cultures — together.

Mutual fund providers sought to use digital platforms as new distribution channels for their funds, but new guidance upends a strategy that would rely only on proprietary products.

Digital tools can supplement human advisors with ongoing counsel while the latter can also take over when an investor needs reassurance.

The Justice Department and SEC have been cracking down on hedge funds' use of firms that are paid to offer insights on Washington policy that could move stock prices.

This year through October the fund gained 3.7%, trailing the benchmark Bloomberg Barclays U.S. Aggregate index, which rose 5%.

The early decision stops advisers from earning commissions on products that will also generate fees through the firm's Investment Advisory Program.