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Here's what smaller firms hoping to get out of the broker-dealer business need to know.

Contrary to what some people think, their tax burden may not decline after leaving the workplace for good.

QIM’s Tactical Aggressive Fund ended May up 13%, adding on to a 9.2% gain in April.

The firm's newest broker generated $1 million in annual revenue while at Baird, an RBC spokeswoman said.

Vault and Retiremap are launching products this week that are designed to help people stash cash where they can.

The money manager created the new role in order to accelerate the growth of the funds.

The legislation ― called the Financial Choice Act ― has little chance of passing the Senate in its current form.

Central bank rate policies are artificially driving up asset prices while creating little growth in the real economy, the Janus bond fund manager suggests.

Independent advisers are poised to benefit from implementation of the DoL ruling.

The impartial conduct standards are rigorous. And they are especially necessary for small investors.

The promotion comes as wealth management firms accelerate efforts to roll out digital advice platforms.

The restructuring of the business following the May 2011 acquisition of Wilmington Trust is largely over, enabling it to grow.

You probably feel you already act in your clients’ best interests, but now that it’s official, you could feel it in your paycheck. Editor Lee Conrad talks with consultant Peter Bielan about changes banks are considering for their advisers.

An expert warns that "the buy, hold and forget" strategy would only work in bull market conditions.

The truth is, many investors would be horrified to learn the true extent of the fees they pay.

Wirehouses, broker-dealers and banks unveiled client-friendly policies while asking the agency for further delays.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Many people plan to have an active lifestyle in retirement, but are not engaging in activities to stay fit.

Everyone wants technology to streamline processes, but clients' complex problems create hurdles to achieving that goal.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.