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Four in 10 participants in 401(k) programs who use in-plan advice expect to live as well or better than they did when working, compared to just 29% of all 401(k) participants.

The week ended March 20 was a relatively good one for mutual fund flows. 

The happiness of the independent advisor appears to be slightly overrated. By a slight but significant margin, advisors in RIAs aren’t as happy with their careers as those in wirehouses.

April 1st may be the opening date of a new DoubleLine Capital fund, but rest assured DoubleLine ain't kidding about betting on equities. 

Natixis Global Asset Management has launched the Aurora Horizons Fund (AHFAX), an alternative multi-strategy mutual allocated across multiple hedge fund managers.

Income annuity sales set new quarterly record, increase for fourth-consecutive quarter; fixed annuity sales drop 11 percent compared to 2011.

The Supreme Court will use a case involving billionaire Billy Joe “Red” McCombs to decide whether the federal government can impose hundreds of millions of dollars in penalties for the use of abusive tax shelters.

American Century Investments has named Joseph Schultz head of intermediary sales, responsible for the firm’s field and internal sales businesses, including wirehouses, regional and independent advisors, registered investment advisors, insurance company advisors and broker-dealer key account management.

Vendors of social media compliance software are expecting a nice boost from the FFIEC's complex new rule proposal.

In the wake of continuing financial uncertainty and a volatile market, some older clients (and even young ones too) may find themselves too easily caught unawares. In response, the CFP Board released on Wednesday a guide that provides older clients financial self-defense.

In the wake of continuing financial uncertainty and a volatile market, some older clients (and even young ones too) may find themselves too easily caught unawares. In response, the CFP Board released a guide that provides older clients financial self-defense.

Two private equity firms have teamed up to buy their way into the alternative mutual fund space.

Aquiline Capital Partners and Genstar Capital, two private equity firms, are set to Acquire Genworth Wealth Management for $412.5 million.

Eight former Morgan Keegan & Co. mutual-fund directors agreed to settle U.S. regulatory claims that they allowed assets backed by subprime mortgages to be overvalued as the housing market collapsed in 2007.

Specific fees are much less important than understanding how the whole system of incentives works.

“The stock market rally has boosted investor confidence and the level of affluent investors who choose "not to invest" has reached a four-month low,” according to Spectrem's latest monthly survey.

sometime today or tomorrow you will be meeting with a client to present or review an Investment Policy Statement. Over the course of this year, you will do the same with many clients because you know that the IPS is an essential tool. But are your firm’s goals and plans as well documented?

Northern Lights Distributors has appointed Brian Nielsen as chief executive officer and Bill Wostoupal as president, effective immediately.

Building (and rebuilding) credibility with clients and with potential referral advocates must be an ongoing commitment. Ken Haman said that he suggests advisors allocate significant time each month to proactively reaching out to existing clients and to “centers of influence” with a thoughtful message about the markets, where we’ve been, what’s currently going on and what is likely to happen next. How can you use proper messaging to grow your book of business?

Social media relationships deserve your personal attention. Start keeping track of the people you connect with online.