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UBS financial advisor Bryan Mountain, number 24 on the Top 40 Under 40 list, helps clients find a balance between finding retirement income and taking on the risks that can grow their portfolios.

A rise in schemes targeting advisors has prompted the SEC to seek new protections. But it’s not clear how far the proposed rules would go.

Fidelity Investments has closed off one of its funds to new investors.

An article on the topic Tuesday generated a lot of buzz on Twitter and resulted in an interesting discussion about best practices for financial advisors when communicating with wealthier clients.

Change is the name of the game in 2013. A new report from Aite Group looks at the major trends that could dominate the wealth management industry this year.

You’re a financial advisor, not a technology expert -- or at least you shouldn’t have to be. But you and your staff need to feel comfortable with the technology platforms that are vital to your practice.

EIG Global Energy Partners has reached a deal with the TCW Group whereby EIG will publicly support the buyout of TCW by the Carlye Group.

Looks like Vanguard isn't the only company into mass hirings.

This year, Duran said the company plans to aggressively expand its business model, and its brand -- aiming to look more like Starbucks and less like rivals HighTower and Dynasty Financial.

Pyxis Capital is ramping up its sales force with the addition of four wholesalers to cover Texas, Illinois, California and the Northeast.

Cole Wilcox, chief executive officer and chief investment officer of Longboard Asset Management, has some lofty goals for the alternative mutual fund shop this year.

Morgan Stanley financial advisor Brad DeHond, number 25 on the Top 40 Under 40 list, says that successfully serving ultra high net worth clients requires a different approach.

A new generation of business students will soon be trained in investment and wealth management skills at a new Charles Schwab Trading and Technology Lab at the University of California at Irvine. The lab wilkl be the cornerstone of a new 78,000-square-foot building to be built within the University's Paul Merage School of Business.

Goldman Sachs Group Inc., the fifth- biggest U.S. bank by assets, said quarterly profit almost tripled as gains in the value of the firm’s own investments contributed to the first year of revenue growth since 2009.

Legg Mason Inc., the money manager best known as home to stockpicker Bill Miller, is folding Miller’s Legg Mason Capital Management division into its ClearBridge Investments equity unit as assets have tumbled.

The Internal Revenue Service plans to introduce a simplified way for small business owners and home-based employees to claim the home office tax deduction.

A proposal to tighten regulation of foreign banks in the U.S. would also significantly expand the central bank's oversight of foreign broker-dealers, effectively snatching supervisory responsibility from the SEC.

The Marketing Maven offers marketing insights from the Ladenburg Institute of Women and Finance Symposium

As the RIA industry grows and reshapes itself, advisors need to keep an eye on the shifting competitive landscape. In our annual RIA Leaders report, in addition to identifying the top 50 firms by AUM and by growth, Financial Planning ran the numbers to find 50 emerging fee-only RIA firms to watch.

The Securities and Exchange Commission has tapped David Grim for the No. 2 spot in the Division of Investment Management, the bureau that oversees federally registered investment advisors.