Portfolio

Experts and advisors say they are cautiously optimistic about the future of small caps in the coming years.

More planners are dropping their FINRA registration but keeping some ties to independent wealth management firms once thought to be in a different channel.

Nicholas Takahashi and his team are accused of deliberately trying to poach the clients of a former colleague managing hundreds of millions in assets and producing more than $1 million a year in revenue.

Donald Trump discussed various items related to the Fed and its independence and stated he would not nominate Jerome Powell for another term as chair. Gennadiy Goldberg, head of U.S. rates strategy at TD Securities, discusses what a Trump presidency may mean for the Fed.

Morgan Stanley and Edward Jones meanwhile are giving their advisors new stomping ground in midtown Manhattan offices.

Large-cap funds are generally defined as those that invest in companies with over $10 billion in market capitalization and are often considered safer than small-cap funds.

Consolidation may be a prevailing industry trend. But the founders of a Chicago-based RIA see no reason to join a large aggregator.

ESG was seen as a counter Trump's presidency eight years ago. The story has changed.

There's financial outlay and risk, but the rewards of investing in a well-run, growth-minded advisory firm can be huge.

A new partnership with the tech firm Carta will position Morgan Stanley at Work to manage stock-compensation plans for more than 2,000 private companies that are moving toward IPOs.