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US ETF assets totaled $1.3 trillion as of November 30, 2012 – up 24.2% year-to-date, according to State Street Global Advisors’ latest ETF Snapshot.

Al Falco will work with individual clients in the Hartford area and institutional asset managers for middle-market corporations and non-profits.

Armed with new executives and a new partnership with an RIA, the online wealth advisory and lead generation firm for advisors, is thinking expansion.

Here are five key things advisors should understand about the new mold-breaking Microsoft operating system.

Determined to keep its 48-year-old firm’s “small, hometown feel,” Investors Security of Suffolk, Va., has decided to drop its own broker-dealer and affiliate with Securities America.

Fidelity Investments, the firm that lost its position as the biggest U.S. funds provider after ignoring exchange-traded products for years, is seeking to open an actively run ETF lineup starting with a corporate bond fund.

Mutual funds may have tough times ahead, in remaining the investment of choice for a new generation of Americans. Their bread and butter: Older investors. Their weak spot: Investors under 35.

Exchange-traded funds saw inflows of $15.6 billion in November to bring year-to-date inflows to $154.0 billion, putting them on track to match or exceed 2008’s record-setting inflows, according to data from Morningstar.

Financial advisors and investors now see value of investing in managed futures, particularly in times of market stress.

The money a household has to deposit into a bank account would decrease by an average of almost 55% if U.S. tax cuts are allowed to expire, an analysis from Market Rates Insight found.

The husband-wife team of Joe and Penny DiRago have been hired by Wells Fargo in San Antonio.

Financial advisors and investors now see value of investing in managed futures, particularly in times of market stress.

Looks like eight Tennessee-based mutual fund directors bent the rules too far.

The Securities and Exchange Commission has initiated cease-and-desist proceedings against the former board members of five registered investment firms, alleging that they failed to maintain appropriate fair-market valuations of debt securities that comprised a substantial portion of the companies' portfolio.

Starting Dec. 31, U.K. advisors will be required to make changes in their practice based on new regulations. These rules, which deal with the advice given and the way advisors charge, have not been implemented in the U.S. yet, but leading advisors should consider applying the changes to their own businesses.

Exchange-traded funds saw inflows of $15.6 billion in November bring year-to-date inflows to $154.0 billion, putting them on track to match or exceed 2008’s record-setting inflows of $168.3 billion, according to data from Morningstar.

Baird's director of estate planning reminds clients that just because they can make large tax-free gifts this year, doesn’t mean they should.

LPL Financial, the nation’s largest independent broker-dealer, announced Monday that Legacy Financial Planning has transitioned to its broker-dealer platform.

The leading accounting firms that conduct audits on the financial statements of publicly traded companies suffer from a significant and growing number of deficiencies, according to a new report by an industry oversight organization.

A winning marketing strategy takes more than understanding your target market, creating a value proposition that will attract ideal clients, communicating well, and delivering on your promises. It takes courage. That's one reason why so few business owners, including financial advisors, are effective marketers.