Special Program Root Tag

The decision to break away raises many issues and questions, not the least of which is whether clients will follow their advisor out the door.

Asset managers groaning under the weight of regulatory requirements scrambled to learn more about recent SEC proposals that would increase their data collection and reporting requirements about their holdings.

Welcome to the era of ETF mashups, whose issuers act like Dr. Frankenstein and combine popular strategies hoping the result will be greater than the sum of its parts.

Those seeking to go independent shouldn't make such a move without first consulting an advisor at the firm being considered.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

Advisors need to define what they really want for themselves, their businesses and their legacies so they can live their 'best business life.'

The widespread acceptance of ETFs have added to a "heightened fee sensitivity," among advisors, researchers say.

Vanguard has joined the fight against a plan by the Financial Stability Board to identify too-big-to-fail investment funds, calling its proposal deeply flawed.

Two veteran industry recruiters discuss the appeal of going independent.

A new set of players have shaken up the independent broker-dealer landscape, showing that there's more than one way to throw your weight around. See this year's top players.

"Advisors that know their clients can smell when something's up," says regulatory and compliance consultant Daniel Bernstein.

The more money elderly high-net-worth clients have, the more they may worry that beneficiaries won't use it wisely.

How well can active managers adapt to a market favoring passive funds and cheap ETFs? One firm's response is to offer a passive ETF of its own with the goal of demonstrating it can be good at passive and active strategies.

Pimco considered recruiting Gary Cohn, president of Goldman Sachs, as a top executive in 2013, people with knowledge of the matter said.

The more money elderly high-net-worth clients have, the more they may worry that beneficiaries won't use it wisely.

Discussions about cognitive impairment and end-of-life issues might be difficult, but they need to happen, and could yield an upside for the advisor's practice.