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SpringReef Partners, a consulting firm specializing in evaluating wealth mangers for high and ultrahigh net-worth clients, has been acquired by Aronson, an accounting and consulting firm based in Rockville, Md.

Active exchange-traded fund provider AdvisorShares is closing the AdvisorShares Rockledge SectorSAM ETF (SSAM) on June 21. The fund investing primarily in both long and short positions in U.S. sector ETFs.

Writing and send a press release sounds like a simple way to hang your shingle as a new RIA, but Dave Grant said the process is more involved than he thought.

A slew of recent regulatory shifts is keeping examiners busy -- and advisors must know how to react when they get a call from FINRA or the SEC.

Ed Slott, Your IRA Expert, answers questions on when to convert a traditional IRA to a Roth and what happens when the 60-day rollover period has passed.

Payden & Rygel is looking to tap into the broker dealer channel with a new partnership.

Following the announcement of John Hallacy's departure from Bank of America Merrill Lynch, sources confirmed that Phil Fischer will step in to lead the group this month.

Sean E. Ekiert has joined Raymond James as a managing director in Richmond, Va.

Muni money funds continue to struggle to recoup the billions they lost this year — particulary around income tax season — and the arrival this week of $411 million is not much of a boost.

Regulators have formed a working group to enhance coordination between federal and state banking agencies on cybersecurity.

Financial Planning released its annual list of the largest independent broker-dealers in June. Here's a list of the top 28 smaller firms based on revenue.

LPL hired Michelle Oroschakoff as chief risk officer and managing director.

U.S. bond funds suffered their second-worst withdrawals last week in more than two decades after speculation about an eventual end to the Federal Reserve’s bond purchases sent fixed-income markets lower.

Defined contribution retirement plans could improve their risk-adjusted returns by broadening their investment options, according to a BNY Mellon report.

NICSA and Money Management Executive announce the opening of nominations for the 2013 NOVA Awards program recognizing outstanding service, leadership and innovation inside asset management firms.

Financial Planning unveiled its annual list of the largest independent broker-dealers in June. Here's a list of the top 5 networks.

Which top program managers are surging? Check out a list of the top program managers that saw their assets surge last year.

New York-based Gerstein Fisher has launched the Gerstein Fisher Multi-Factor Global Real Estate Securities Fund (GFMRX) to make bets on real estate investment trusts and other related securities.

A focus on advisor fees and compensation is all well and good -- particularly among the next-generation of investors -- but advisors say that focus can sometimes be misguided.

“I think probably the No. 1 area of angst for advisors running their own firms is the efficiency of their business,” Pershing's Mark Tibergien said Thursday during an interview at the Pershing Insite conference.