Stein Roe of Chicago is taking public the Small Company Growth Fund, which is co-managed by Bill Garrison and Steve Saplopek. Their strategy is to invest in 120 to 150 stocks of firms that have substantial growth possibilities and strong management teams. Stein Roe launched the fund in 1996 as a multi-cap fund.
The SEC is now focused on "quality of cases versus quantity," the SEC chairman said during a discussion held as part of the 2026 FINRA Annual Conference.
Oppenheimer said it had calculated its potential liability in its cash sweeps lawsuit at more than $440 million. Rather than face a jury, it's settling the class action lawsuit.
Financial advisors considering a career move may not need a recruiter, but the right one can open doors to more firms, negotiate compensation and help manage the transition.
Financial planning can be complex to regular investors. Advisors shared the analogies and stories that bring ideas into focus with clients and prospects.
At their institutional investor day, Charles Schwab executives say they see a huge opportunity in arranging securities-backed loans for firms in its RIA network.
Financial planners and organic growth experts understand why some may hesitate to start posting videos. But the benefits far outweigh any risk of embarrassment.
