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Clients are advised to reconsider including target-date funds in their 401(k) plan; plus, why clients shouldn't convert all their IRA savings to Roths.

Financial fraud perpetrated against the elderly is on the rise, according to a new survey of CPA financial planners.

The new digital platform will cost 10 basis points for advisors who have less than $100 million in AUM under custody with Schwab, but advisors who have more under custody won't be charged a fee.

The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says.

Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.

The bank's U.S. brokerage unit which focuses on ultrahigh-net-worth clients snags a new branch manager.

Robert Arnott, CEO of Research Affiliates, says the financial services industry has to change its mindset toward innovation in order to remain competitive.

Harvesting data can ensure that accounts you manage are meeting their objectives and can offer marketing opportunities.

The three advisors all joined the super-regional firm from Janney Montgomery Scott.

Silicon Valley firms like Apple and Lending Club are happy to partner with banks — so long as they get to be the face of customer interactions. But banks may not easily give up that ground.

Don't despair, industry leaders say. Even wealthy and digitally minded millennials will still want personalized advice.

Robert Arnott, CEO of Research Affiliates, says the asset management industry has to change its mindset toward innovation in order to remain competitive.

Rhode Island asset manager Michael Riley has asked the SEC to examine the Providence, R.I., pension fund over a $62 million spike in its unfunded liability.

When it’s spring and the days get longer, risk appetites grow and cash flows to equities, according to a new study. As winter approaches, safer alternatives like the money market come into favor.

The Chinese fund-management company, which oversees $100 billion, is seeking to open an office in New York “very soon” and another in London.

The concentration of CFAs in Abu Dhabi speaks to the power of an array of sovereign funds in the city charged with investing hundreds of billions of the nation’s oil-generated riches.

Despite the benefits of independence, there is an added time, cost, liability and regulatory burden.

Two former National Planning Corporation brokers "are just normal dudes and they just screwed up," says a lawyer for one of the men.

Advisors have been curious about this relatively new fund category. Here are the ones attracting the most assets.

Advisors have been curious about this relatively new fund category. Here are the ones attracting the most assets.