Subject Root Tag

The number of annual new SEC registrations has jumped by 150% since 2000.

Evacuating floodwaters with his pregnant wife, two children and a “very angry cat,” an advisor gets a personal reminder that the people he serves are a lot more than just names and numbers.

The real concern is not just that actively managed funds could disappear but that the entire market could be left for dead.

The Office of Management and Budget concluded its review of the proposal, a key step in the administrative process, which puts a freeze on further implementing the regulation.

Directors suggested firm head John Rogers make reductions at his $11.8 billion mutual fund that either meet or undercut the industry average.

Clients ready to quit the workforce in advance need to understand the impact of doing so on their Social Security benefits, Michael Kitces writes.

The agency will allow some Texas residents to file certain individual and business tax returns and make some tax payments as late as Jan. 31.

Not tapping tax-deferred retirement accounts until the age of 70 1/2 can be a wrong move, as required minimum distributions can be big enough to push retirees to a higher tax bracket.

The one-time radio host allegedly spent client funds on a $1.45 million on a luxury suite at AT&T stadium, where the Dallas Cowboys play.

The independent firm was founded by two former Merrill Lynch advisors in 2012.

Experts say firms that clear through Pershing have an advantage in the looming recruiting fight.

These plans once merely supplemented health insurance. Now they are a vital part of a broader retirement strategy.

The new European Union rules were discussed on 50 earnings calls since BlackRock reported results on July 17, up from 17 mentions in May and June.

The most difficult challenge for a new firm? For some, it’s not location or even hiring.

The cleanup goes on long after the storm has passed. Here’s how financial planners can provide advice for one of clients’ most expensive traumas.

Advisors' best practices for aiding clients affected by natural disasters.

Clients should consider a dependable second-hand car instead of a new one, and then redirect the money saved into a retirement account.

Certain laws may require them to maintain the coverage with their former spouse.

The firm and fellow regionals continue to take advantage of hiring cutbacks at wirehouses.

Three quarters of the firm’s 57 new recruits have come from the largest firms.