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The independent firm affiliated with Raymond James picks up two recruits who made the jump in separate moves from Oppenheimer.

The hefty penalty is one result of an SEC investigation into performance claims of the AlphaSector ETF-linked strategy.

Here are the best-performing mutual funds over the past three years with the lowest expense ratios.

Some participants receive a lot of plan documents and they may overlook the fee disclosures or find it confusing; Plus, why millennials are saving younger than previous generations.

Pessimistic thinking can turn into a self-fulfilling prophecy.

Key to a firm’s growth is being able to transition away from smaller accounts.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

These 20 funds didn't just rise with the tide; they exceeded expectations and generated genuine gains.

These 20 funds didn't just rise with the tide; they exceeded expectations and generated genuine gains.

Wyatt takes the job after heading OCIE on an interim basis as the commission struggles with advisor exam cycle.

The recruits have launched independent practices and joined existing teams with FiNet.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

A FINRA arbitration panel found that she was wrongly accused of participating in client meetings where an advisor she worked with misrepresented investment products.

RBC's newest recruits oversee about $132 million in client assets.

Officials should ask "whether these new robo advisors can be neatly placed within our existing laws," SEC commissioner says.

"Your best people are everyone else’s best prospects,” said John Burns, CEO, Exencial Wealth Advisors.

A simple portfolio has a fixed allocation of stocks, Treasuries and other bonds and is rebalanced on a periodic basis; Plus, student loan debt is getting in the way of retirement planning.

Opinion: Contributor Allan S. Roth is “more than a bit concerned” that this marriage of a low- and high-fee provider will not be good for investors.