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Michael James, a former wealth strategist in Goldman Sachs' mid-Atlantic region, has joined the Philadelphia office of Glenmede, an independent investment and wealth management firm, as director of family wealth advisory.

Before embarking on first or next dance with the regulators, Jennifer Woods Burke, President of CompliGuide provides her thoughts on the top 7 ways that firms sabotage themselves.

Fed up with changes in infrastructure, two veterans with more than two decades at Morgan Stanley move to Ameriprise.

Investors have stepped up their flight from mutual funds that invest in stocks.

PIMCO is currentlly crossing the T’s and dotting the I’s on its latest offering, the PIMCO Mortgage Opportunities Fund.

Three ING funds are bidding their subadvisor, Tradewinds Global Investors, adieu.

Investor confidence dropped slightly in the third quarter of 2012, according to the John Hancock Investor Sentiment Index, released Wednesday by John Hancock Financial Services.

Federated Investors is looking to take its fixed income prowess across the pond with the help of Bury Street Capital, a London-based investment marketing and distribution firm whose clients include leading global pension funds and wealth managers throughout Europe.

ImpactAssets, a nonprofit financial services company, introduced its annual database of fund managers who invest for maximum social, environmental and financial impact.

Based on conversations with more than 20,000 professionals, a new white paper proposes five natural starting places where planners can look for members of the 80 million-person-strong Generation Y, which will account for the next generation of financial planning clients.

RBC Wealth Management has snapped up a three-member wealth management team from Merrill Lynch in Colorado.

As Merrill Lynch intensifies its hunt to grab top financial advisory talent away from Morgan Stanley, some recruiters say more Morgan Stanley advisors are considering a transition.

The firm has shuffled leadership in the Southeast to accommodate a new regional manager and additional recruits.

Mutual fund executive John Mattera, of Fort Lauderdale, Fla., pleaded guilty this week to three criminal counts, including conspiracy, securities fraud and wire fraud, in connection to an $11 million scam involving the sale of non-existent private shares in companies such as Facebook (FB) and Groupon (GRPN).

Global wealth management firms engaged in 65 M&A deals from the beginning of 2011 to the end of the third quarter of 2012. During that time, $635 billion in assets under management changed hands.

Former Navy Seal imparts management lessons for business and everyday life.

Teton Advisors (TETAA) has renamed its group of funds that it has advised since it was spun off from GAMCO Investors—Mario Gabelli’s fund group—in March 2009.

BNY Mellon Wealth Management has added three senior portfolio managers and two senior directors for business development to its Southern California team.

Since it was formed last year, Citi Private Bank's North America Asian Clients Group has increased its client base by 10percent and its assets under management by over 40 percent.

"Inventions have long since reached their limit, and I see no hope for further developments," Julius Sextus Frontinus, Roman engineer, 10 A.D.