Special Program Root Tag

Goldman Sachs, which is looking to issue ETFs this year, hired BlackRock veteran Tony Kelly as head of product development for that unit.

The world’s biggest investment managers have won a reprieve from plans to label them as systemically important, staving off tougher regulation, as global authorities reassess the move.

Advisors who defect from wirehouses notice almost immediately the benefits of no longer facing constraints set by a large employer's compliance officers. But the newly independent advisors must ensure that they stay within the boundaries of regulatory requirements and that compliance never becomes too time-consuming.

Some breakaway advisors duplicate some of the rah-rah found at their former employers, others relish the newfound informality, but either way, they get to set the tone.

From starting an RIA to joining an independent broker-dealer, there are myriad options for advisors seeking to go independent.

Ideal Asset Management CEO Rahul Shah says the bond between advisor and client is strengthened best through proven performance.

Regulators are seeking to ensure that post-crisis rules and monetary policy aren’t creating a toxic brew that’ll explode amid a sudden exit by investors.

Advisors should review their employment contracts and other documents to make sure they won't incur liability for taking client information.

Advisors should check to see if both their old firm and new affiliated firm have signed on to the industry protocol for taking client information.

Currency-hedged ETFs in the U.S. have taken in a record $39.6 billion this year, up from $8.9 billion for all of 2014.

Choosing a broker-dealer and/or a custodian is one of the most important decisions for advisors going independent. Here are five questions for each choice.

Money funds are finding new ways to get the securities they need, opening a door for other institutions to step into roles once dominated by banks.

Two former Goldman Sachs Group Inc. bankers are starting a hedge fund to profit from a void in bank lending.

Power has shifted to the advisor, who is acting as the portfolio manager, ignoring intermediaries and going directly to the fund managers or assets they want in their portfolio models.

With the Federal Reserve poised to unleash its first interest rate increase in almost a decade there's a debate among investors about whether the past is any guide to how markets will react to a monetary tightening.

What do you really need in your software toolkit when going independent and what types of technology can wait?

This year, for the first time since the financial crisis, hedge funds are winning.

Women working outside male-dominated wirehouses tout the advantages of independence.

To what extent do advisors push for the last piece when going independent?

We have listened to numerous warnings about cyber threats and data breaches. We've been urged to secure networks and prepare response plans in anticipation of an attack, but as we've seen countless times in the news, some businesses have learned the hard way.