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U.S. Capital Advisors recruited a veteran Wells Fargo advisor who previously managed $550 million in assets as part of a three-person team.

Gen X is the first group to fall short of their parents' achievement on an inflation-adjusted basis. Here are 5 tips for the oldest Xers, who start turning 50 this year.

Years after being barred from the industry by FINRA, a former LPL broker is heading to prison for embezzling more than $250,000 from mostly elderly clients.

The majority of money gathered by Gross’s new fund at Janus Capital Group came from the same Morgan Stanley brokerage where his personal financial adviser works, according to the Wall Street Journal.

Many firms manage the distribution of summary prospectuses and upkeep of the related websites in-house via a painstaking manual process. However, these firms may not be aware of how much this effort is costing them and whether they are truly complying with Rule 498 and delivering a positive investor experience.

The majority of money gathered by Gross’s new fund at Janus Capital Group Inc. came from the same Morgan Stanley brokerage where his personal financial adviser works, according to the Wall Street Journal. The wealth-management office in La Jolla, Calif., routed about $700 million to Gross’s fund in October and November, the newspaper reported yesterday.

The breach illustrates the danger posed when just one employee has unauthorized or unsecured access to sensitive information, as well as the ongoing threat to financial institutions from insider theft.

Banks are expected to start rolling out digital wealth management offerings this year that could attract young clients who favor a mix of technology and personal advice.

To meet the cultural challenges of merging the operations of a bank and RIA, Beacon Trust keeps the businesses separate with the advisors at a different location.

Vanguard Group plans to offer its first ETF focused on the $3.6 trillion U.S. municipal-bond market.