Subject Root Tag

Three-quarters of advisors at financial firms anticipate a continued rise in the number of peers making the leap to independence, according to a survey by Charles Schwab.

Large banks have done a good job of capturing the investments of young banking clients, but they haven’t had the same success with their older—and wealthier—customers, according to a new report from Aite Group.

Ongoing efforts by regulators to give the public more details about financial advisors' backgrounds still haven't solved a key problem—getting more investors to use that information.

Alternative mutual fund shop Direxion has hired Greg Blue to serve as senior regional sales director, focusing on the Florida market.

Raymond James has snagged a four-member financial advisor team with $853 million in client assets from Merrill Lynch.

Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan

Advisors with clients who want to move money into real estate investments known as tenant-in-common offerings under section 1031 of the Internal Revenue Code need to be wary.

This is the week that actively managed exchange-traded funds get their biggest booster shot since they first arrived, less than five years ago: Bill Gross and PIMCO get into the game.

Joshua Levine, a former head of the America’s institutional sales team at The Permal Group, has joined BlackRock to lead the firm’s public and corporate pension plan effort in the East Coast.

Hungry for healthier returns, more mutual funds are investing in commodities, commodity futures, swaps and options.

There’s a new authority watching over faculty and staff on campus at Wellesley College.

Value Line’s mid-cap growth equity fund, the Value Line Premier Growth Fund, recently won a five-star overall rating from Morningstar.

FSI needs a bit more time to respond, and some of the data requests seem misguided, according to a letter it sent to the Labor Department.

After a decade refining their advice services, Fidelity, Schwab, E*Trade and other online brokerage firms are now rubbing up against traditional financial advisors, according to a new report from Cerulli Associates.

Bloomberg introduced what it called a “step change” in its core business, known as the Bloomberg Professional market data service.

The new design emphasizes simplicity. Bloomberg has cut the 30,000 functions available in its previous desktop product by about half.

Bock will lead the firm’s business consulting, relationship management and education teams.

Peter H. Sargent explains why he chose Janney. A 20-year veteran and top producer at Merrill, Sargent boasts $250 million in client assets.

BlackRock’s exchanged traded-fund arm, iShares, has launched two new dividend equity funds focusing on emerging markets as well as the developed markets of the Asia/Pacific region.

Bloomberg introduced what it called a “step change” in its core business, known as the Bloomberg Professional market data service.