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The market has seen 200 ETF launches this year, more than ever before, Bloomberg reports. But only 20 new funds have managed to gather at least $50 million in assets.

There are three types of advisors when it comes to embracing technology, says the advisor organization: early adopters, those who will follow peer success, and those who wait until the last minute.

UBS agreed to pay $34 million to settle charges by the SEC and FINRA that it failed to supervise a former broker who had customers invest in UBS-affiliated mutual funds using money borrowed from an affiliated bank.

The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.

Elder care expert cautions that advisors must put a formal plan in place to help protect clients if they start to lose their faculties.

Only about one-third of CFPs say their clients are even somewhat knowledgeable about claiming Social Security benefits, according to a new join study from the FPA and AARP.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.

Rules dealing with liquidity and other market-related items may be a better strategy for asset managers than higher capital requirements, said Federal Reserve Board Gov. Daniel Tarullo.

Help clients protect what has taken them a lifetime to accumulate.

The assets that clients used intensively when first purchased (like a large house) come to have excess capacity over time; Plus, two big reasons clients need more savings.

The OAKS Wealth Management Group has a combined $3.2 million in production.

A slideshow of education-related tax opportunities

New, sweeping SEC proposals aimed at enhancing the liquidity risk management practices of mutual funds and ETFs have the asset management industry greatly concerned about unintended consequences affecting their businesses.

Connecticut's $840 million bond sale this week is drawing interest from Conning, Eaton Vance Management and Nuveen Asset Management.

Exclusive: CEO Adam Nash says his firm has no plans to diversify into a business-to-business model.

It's not about social media, it's about being visible when the prospective client has a goal or a need you can help with, says author David Meerman Scott.

As the CFP Board wrestles with shifting demographics, its latest research indicates that investors expect their advisors to put their interests first, but the majority believe they don't.

The association's board of directors chose a new president-elect, as well as three new board members. The changes come as the association generally supports the Labor Dept.'s proposed fiduciary rule, but with certain changes.

Cardinal Financial made a big push into wealth management a decade ago. Today, it remains an inconsistent business, though management is optimistic about the future.

Paydays are on the rise for advisors and other key personnel in wealth management, according to a recent FA Insight study.