Portfolio

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

As the issuance of green municipal bonds climbs this week, the bonds performance in the secondary market shows mixed results.

The IRS has issued new draft instructions, notices and a publication to help taxpayers and tax practitioners deal with the Affordable Care Act.

In a speech Tuesday, U.S. Bank CEO Richard Davis offered mostly upbeat views about the evolving, more stringent expectations of bank regulators.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Bogle wants to make your nest egg 65% bigger; How smart savers choose between a 401(k) or Roth IRA; Pensions stick with hedge funds despite CalPERS exodus

Census Bureau data comparing U.S. racial demographics with those of advisors show the gap is big. Financial Planning's research has found it may be even bigger.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Morgan Stanley lures highly lucrative talent from Merrill Lynch while Washington Wealth Management grabs advisors from RBC and Wells Fargo plucks four from UBS. Here are the most recent moves among wirehouse advisors.

The firm’s new wealth management arm hopes Sayra will become the voice for women in the industry.