News Feed

While the entire financial services industry simultaneously bemoans and braces for more oversight and regulation, advisors out in the field have to do a better job of understanding and articulating the difference between independence and objectivity when it comes to dispensing investment advice to existing and prospective clients, according to a new research report released this week by SEI.

Fidelity Investments announced that its ultra-high-net-worth program for independent RIAs has reached almost $2 billion in assets in just the first six months since its launch in October 2010.

Most broker-dealers and compliance departments are terrified of social media, but advisors cannot afford to be, Matthew Halloran a practice management coach at Peak Advisor Alliance said during the company’s Excell Meeting.

Soaring gas prices are forcing many Americans to shorten or cancel their summer vacation plans and reduce their overall discretionary spending.

There's a new world order coming in mutual funds. And a new form of wholesaler -- colloquially called a "schmeek" -- will be helping financial advisers understand its new complexity and sell a constantly evolving kaleidoscope of new products to individual investors.

WASHINGTON—Stocks will return between 8% and 9% over the next three to five years, predicted Eddie C. Brown, president and CEO of Brown Capital Management, speaking on the “Industry Investments: Experience Talks” panel at the Investment Company Institute’s General Membership Meeting Thursday morning.

Online investors are less bullish than they were in January as the anniversary of the “Flash Crash” draws near and renewed fears of market volatility surface, according to a survey by online broker TradeKing released on Thursday.

Ninety percent of advisors generate business through referrals, but only 10% to 15% of advisors ask for referrals. What are the secrets to improving those percentages?

Timothy W. McNamara has been registered with UBS’ Williamsville, N.Y. office since April 28.

In the perpetual race to keep advisors well equipped, efficient and loyal, Cetera Financial Group has just launched a technology platform for its investment adviser representatives.