Subject Root Tag

The new unit will offer financial planning utilizing various wrap account strategies.

Most of the new arrivals are employees of larger financial service companies, said president Scott Curtis, and about 25% are already independents.

In its zeal for products and performance, the fund industry is not delivering what today’s advisors need.

Holding down clients' investment income can reduce exposure to the 3.8% surtax imposed on high-income taxpayers.

FINRA CEO Richard Ketchum praised one SEC commissioner for floating a new proposal to beef up examinations of the RIA industry independently of Congress.

Helping clients develop a game plan offers several advantages, says Raymond James' Paula Feinberg at Women Advisors Forum in Dallas.

City National Bank hired five wealth management pros in its private client group in California’s central coast region.

The firm lures three separate teams who manage a total of more than $500 million in client assets.

Holding down clients' investment income can reduce exposure to the 3.8% surtax imposed on high-income taxpayers.

Securities Industry and Financial Markets Association president and chief executive officer Kenneth Bentsen criticized recent efforts by the Securities and Exchange Commission to further regulate the muni market, telling issuer officials on Tuesday that a new rule and initiative could undermine productive relationships between municipalities and underwriters.

The Justice Department likely hopes that Credit Suisse's guilty plea to a criminal charge will squash the idea that some large institutions are too important to the economy to prosecute. But experts say the issue is more complicated than that, arguing that the debate will live on. Here's why.

The 'very, very conservative' company is looking for niche deals, not major acquisitions, said CEO Paul Reilly.

UBS grabbed a former Merrill Lynch advisor who managed $500 million in client assets.

Until someone discovers the fountain of youth, one fact of life is unavoidable: We will all get older. And along the way, it is inevitable that many of us will need health care to help us rehabilitate, recover, or just have a good quality of life. In fact, experts say 70% of everyone who reaches 65 will need some type of long-term care during their lifetimes.

When plans for an external sale faltered, Quest Capital Management looked closer to home and found a better solution. Here's what the partners learned.

Just a day after a top SEC official hinted at discord within the commission about an expansion of fiduciary rules to include brokers, a voting member of the agency spoke out in opposition to the proposal, at least until supporters can build a stronger case.

Rule changes mean the AMT is here to stay, but that could actually be good news for some clients. Just keep them out of the 'bump zone.'

It is more important to rebalance in order to maintain a consistent asset allocation than it is to choose the right allocation in the first place.

After making recent waves with retail acquisitions, Nicholas Schorsch's RCS Capital Holdings is adding its first wholesaling broker-dealer to a growing portfolio.

Ben Pace, Deutsche Bank AG’s chief investment officer for wealth management in the Americas, is leaving, according to two people with knowledge of the matter.