News Feed

The three founders of Concord Equity Group Advisors, a firm LPL bought in 2011 after the RIA allegedly hid commissions from its institutional clients, settled with the SEC.

With investors increasingly looking to U.S. stocks and turning away from emerging market equities, many advisors are urging clients to rebalance into that sector. But each of the BRIC countries has its problems.

With investors increasingly looking to U.S. stocks and turning away from emerging market equities, many advisors are urging clients to rebalance into that sector. But each of the BRIC countries has its problems.

This year saw a number of mega teams with outsized AUMs switching firms. Here are the biggest recruiting moves of 2014.

This year saw a number of mega teams with outsized AUMs switching firms. Here are the biggest recruiting moves of 2014.

Raymond James & Associates recruited an advisor managing more than $191 million in assets from regional rival Stifel.

Optimism about business growth and a rising sense of alarm at security breaches are shaping U.S. banks' tech spending plans for 2015.

Decreased creditor protection for inherited IRAs will impact retirement planning next year; plus, the hidden pitfalls of collecting Social Security benefits from an ex-spouse and three dividend stocks for retirees to consider.

Concerns about an over-proliferation of ETFs, curiosity regarding how market demand will shape product innovation and questions about the direction of regulation are expected to punctuate discussions among those attending the 19th annual IMN global Indexing and ETF Conference in Scottsdale, Ariz., that begins on Dec. 7.

Man Group, the largest publicly traded hedge fund manager in the world, will buy fund-of-hedge funds assets from Merrill Lynch Alternative Investments to expand in the U.S. The London-based firm will acquire the contracts to manage Merrill’s $1.2 billion multi-strategy investments, and will pay Merrill Lynch $2.9 million when the deal closes and 35% of the management fees generated annually for five years, not to exceed $30 million.