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After a decline in advisor headcount and legal expenses hurt revenue, the firm continues to invest in efforts to expand its retail brokerage unit.

August marks the end of the dog days of summer. Here's a closer look at 10 stocks that sent traders back to work in a sour mood.

Edward P. Owens, whose $22.4 billion Vanguard Health Care Fund has outperformed every U.S. equity mutual fund since it was created in 1984, will retire at the end of the year.

August marks the end of the dog days of summer. Here's a closer look at 10 stocks that made some noise last month.

A long-time Vanguard portfolio manager is calling it quits after some 38 years in the business.

Neuberger Berman has named financial services veteran Brendan Gill as its new senior vice president and head of national accounts in its Advisors Solutions Group.

Neuberger Berman Group has appointed Brendan Gill as a senior vice president and head of national accounts in the firm’s Advisor Solutions Group, effective Aug. 30.

The Robinson Reuter Group brings $250 million in assets under management to RBC's La Jolla, Calif., office.

Barclays Plc recruited a team for its wealth and investment management division from Morgan Stanley Smith Barney that includes former New York Jets wide receiver Wayne Chrebet.

It's a summer of uncertainty, with affluent optimism gyrating based on the latest economic news. It also contributes to a fundamental irony: these days, affluent investors simply don't feel affluent.

Banks increasingly use a rolling-average model when setting compensation levels-factors beyond production also considered.

Chicago-based Thomas White Funds has launched three new classes of shares for two of its no-load, foreign equity funds—its flagship Thomas White International Fund (TWWDX) and the Thomas White Emerging Markets Fund (TWEMX).

The Los Angeles-based RIA has hired new managing directors for client and business development.

Despite improved efficiencies and reduced costs, the increased complexity of service provider arrangements has made it more difficult for plan sponsors and ERISA fiduciaries to understand how and how much compensation should be paid to service providers.

The last century ended with a dot-com boom, followed by a real estate boom with each ending in a bust. Could bonds face a similar fate?

In a nod to the competitive pricing pressure roiling the financial services industry, Advisor Group, one of the largest independent broker-dealer networks in the nation, has eliminated, or drastically reduced, the mutual fund fees it was charging to clients of its financial advisors.

After more than a year of battling it out in Washington, D.C., and around the country, SEC Chairman Mary Schapiro called off her proposed second round of reform for money market mutual funds.

As investing in alternatives such as real estate, private equity funds, hedge fund strategies and commodities grow in popularity, the way these are being used by institutions and investment advisors is changing.

The branchless bank is combining retail banking, retirement and insurance services in its online banking site.

Multi-manager shop Virtus Investment Partners has added Rampart Investment Management, which specializes in customized options strategies for institutional and high-net-worth clients, as a wholly owned affiliate of Virtus.