Organization Root Tag

Investors want more clarity and better options when it comes to fees.

July 31: Being a good judge of character is a central ingredient, the co-founder of LM Capital says.

Data reported by the Investment Company Institute.

CEO Dan Arnold said advisers’ uncertainty about the fiduciary rule is waning.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

The new hires joined a recently opened branch in Tuscon, Arizona, continuing a push west for the regional firm.

"This is a challenging time for the firm with the DoL rule," CEO Paul Reilly said.

The firm is pushing into Europe and Asia-Pacific, but rolling back on the products that brought 75% of its assets in favor of actively managed funds.

The move will streamline investigations and standardize sanctions, the regulator says.

The rule has cost the firm tens of millions of dollars in compliance and lost revenue.

A new toolkit is being offered to students before the next test sitting in November.

For clients looking for investment income, these funds excelled in the first half of 2017.

The bank’s attorney who mistakenly released reams of sensitive data about wealthy clients asked a judge to order the records returned and not to be spread any further.

Outlook for faster growth is supporting developing-nation bonds despite the increase in U.S. and European rates over the past year.

The digital firm is opening up a new avenue of advice that could be a model for an industry grappling with the challenge of scaling for smaller accounts.

The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.

The rep claimed the firm misled him when they recruited him from PNC Bank.

The Connecticut office tallied 14 new hires in the past twelve months, the firm said.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.

The new executive will lead a team counseling advisers on how to comply with the DOL rule.