Financial planning

RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts.

Vanguard Group, the third- largest U.S. provider of exchange-traded funds, has asked regulators for permission to open actively-managed ETFs.

After variable annuity sales plunged in 2012, expectations are high for the coming years for new players and higher sales.

The commission is committed to moving forward on a uniform fiduciary standard for advisors and broker-dealers and also expects to finalize money market reforms by the end of the year.

Bill Gross questions whether he is truly a great investor as he ponders his legacy in a new era of shrinking bond returns in his April investment outlook.

Wealthy clients who frequently request services beyond traditional financial planning can create a challenging balancing act for advisors who serve this highly sought-after client base.

Even the wealthiest can't give to every worthy cause. Here's how advisors can help evaluate the options.

Wealthy clients who frequently request services beyond traditional financial planning can create a challenging balancing act for advisors who serve this highly sought-after client base.

Even the wealthiest can't give to every worthy cause. Here's how advisors can help evaluate the options.

LPL Financial says the pace of new advisors affiliating with the firm has slowed from the levels of late 2013 "in part due to disruptive weather."

It's not just young investors with few resources who go online to research advisors. Even HNW individuals will check out your cyber bona fides.

It's not just young investors with few resources who go online to research advisors. Even HNW individuals will check out your cyber bona fides.

In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.

Household wealth in the U.S. increased from October through December, as gains in stock portfolios and home prices boosted Americans' finances.

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

While many HNW individuals can count on a fairly steady income from an ongoing business or a successful professional practice, entertainers and athletes can have highly variable incomes. Here’s how advisors can help.

While many HNW individuals can count on a fairly steady income from an ongoing business or a successful professional practice, entertainers and athletes can have highly variable incomes. Here’s how advisors can help.