Organization Root Tag

The fund is expected to debut in the third quarter and will use an ETF of ETFs structure.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

The No. 4 independent broker-dealer has unveiled two major recruiting grabs from its rivals in two weeks.

Although designed to spur productivity, the Tax Cuts and Jobs Act could have the reverse effect.

A chance encounter in an elevator set Merrill Lynch advisor Adam Rosenfeld on a new path.

Wells Fargo was among biggest losers as advisors jumped to other firms.

If Cetera ties itself to a culturally unmatched firm, the roadblocks it creates for itself may be too much to overcome, an industry recruiter says.

A fee-only insurance advisor shared the tricks of the trade to a room full of skeptical NAPFA advisors.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

Many planners see this exam as a must-have credential. Want to ace it? Have a plan.

Since becoming Franklin Resource's first woman president, Jenny Johnson oversees a majority of the firm’s investment management services.

The Treasury is expected to sell a combined $99 billion of fixed-rate notes this week, in some of its largest offerings since 2010.

Selling printer cartridges at age 16, Umesh Trikha took home more than just a paycheck.

The advisor defrauded some 100 clients by persuading them to invest more than $71 million in 16 private funds offered by his two investment advisory companies, the SEC claims.

What should advisors expect from the upcoming regulation?

The new strategy will focus on long-term ownership of income-producing companies, not unlike Warren Buffett’s buy-and-hold style.

The platform provider is pushing the concept hard, but early reviews are mixed.

Independent Financial Partners’ CEO predicts the firm will retain about 80% of its business, despite a daunting series of challenges.

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

More advisors can’t ignore the call to go independent.