Broker dealers

From the rise of direct indexing and private equity, to the reinvention of brokers, these were the stories that made the covers out Financial Planning over the last year.

As wealth management firms and advisors increasingly wear two hats, it's getting harder for investors to know when they're overpaying for products and advice.

Network 1 Financial Securities focuses on micro-cap companies in China and Hong Kong, where financial data is opaque.

An advisor with strong client relationships can make a move whether markets are up, down or sideways.

There were signs of improvement in terms of audit engagements and quality control systems.

The award from Invest in Others, a nonprofit whose board features prominent financial firms, honors practices with extensive volunteering and charitable giving.

The Massachusetts regular wonders if consumers will face all of the negative impacts of rising rates without seeing any of the positives.

Purshe Kaplan Sterling Investments didn’t adequately review thousands of leveraged ETF transactions, according to Massachusetts state regulators.

Investor advocates would like to see enforcement provisions, not just incentives.

The megabank announced second-quarter revenue of $4.1B for the Asset and Wealth Management unit, with net income of $1.2B.