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Part strategist and part cheerleader, Stephen Viets is a three-time Top 10 branch manager. Viets says that the job also requires a diplomat's tact. "It's all about handling insecurities and misunderstanding," he says.

"Change can be difficult even when it's change for the better," RBC's Eric Siber explains. "You have to have a tremendous amount of patience and show good leadership in making sure that everybody is on board and understands the advantages of the new platform and the new company."

One year after the “untimely” death of Richard Aster, founder of Larkspur, Ca.-based Aster Capital Investment Management, the investment advisor is selling off its assets.

John Hancock Funds has added Christopher Fuschillo as a managing director on its institutional sales team in a new position, calling on analysts and gatekeepers at major broker-dealer firms.

The ICI has a new director of Financial Services Policy.

Who are the financial planning industry's largest broker-dealers? Financial Planning unveils its annual list. Where does your firm rank?

OppenheimerFunds has promoted Art Steinmetz to president. He is currently executive vice president and chief investment officer, where he oversees all equity, fixed income and alternative investment capabilities including investment strategy, strategic planning and personnel.

The network was launched in September to help breakaway brokers transition from the traditional wirehouse model to independence.

New York City’s $140 billion retirement system pays Wall Street money managers about $360 million a year, the only one of the 11 biggest U.S. public-worker pensions that refuses to manage any assets internally.

Two of Vanguard largest funds: Vanguard Total International Stock Index Fund (VGTSX) and Vanguard Total Stock Market Index Fund (VTSMX) representing $343 billion in aggregate assets will begin tracking indexes of FTSE and the University of Chicago’s Center for Research in Security Prices (CRSP) on June 3.

Running your own RIA is difficult, but starting a new business is even more difficult. Dave Grant takes us on his journey.

So called “value-add” programs and tools from vendors are getting the attention of financial advisors and influencing their behavior, according to a new study, but still leave much to be desired.

The platform will provide Dynasty’s advisors with a turnkey solution for writing fixed life insurance, annuity, disability, and long-term care contracts.

Henderson Global Investors' foray into the US market began at an inopportune time: It launched its first three funds on August 31, 2001, days before the September 11 attacks.

Issuance numbers for long-term municipal bonds in May continued to underwhelm market expectations, decreasing 28% for the month.

How to innovate when you're in a large, matrixed institution? "Hackathons" are part of the answer for Hari Gopalkrishnan, who leads retail mobile app development at Bank of America Merrill Lynch.

How could a financial advisor help a new client who wants to retire, but hasn’t saved much, doesn’t know how much to set aside and worries about running out of money in old age?

Four iShares exchange-traded funds have new CUSIP numbers for “operational reasons,” according to BlackRock.

Could cyberattacks bring down the U.S. financial network? Chuck Hagel thinks it's possible. Shielding the U.S. against the destructive potential of digital threats is among the top priorities for the nation, the Defense Secretary said.

Rye, NY-based Teton Advisors has launched the TETON Westwood Mid-Cap Equity Fund (WMCEX) to bet on undervalued companies with market capitalizations between $1 billion to $20 billion.