Financial planning

Networking and a hands-on approach to learning about investing, running the family business and entrepreneurship are the best ways to attract and retain next generation clients, according to the head of one of the industry’s most successful and longest-running Next Gen programs.

The Securities and Exchange Commission has approved new FINRA rules that prevent mutual fund and hedge fund industry personnel from serving as public arbitrators, effective July 1.

BNY Mellon Investment Management has hired Andrew Provencher as Head of U.S. Retail Sales, a newly created role in which he will be responsible for leading all sales and relationship management through the Dreyfus platform focusing on national wirehouse firms, Registered Investment Advisors, independent broker-dealers and private banks.

After weeks of either net outflows or only modest inflows, tax-exempt money market funds recaptured $3.13 billion of net gains as total net assets grew to $260.97 billion in the week ended June 10, according to The Money Fund Report, a service of iMoneyNet.com.

With the number of alternative strategies rising, how can advisors pick the winners from the losers?

Despite a challenging environment in the hunt for yield, three prominent money managers told advisors and investors that it is possible to do better than the historically low rates many have settled for.

Christian Widen has left his position as a director of Pershing Advisor Solutions to return to the rapidly growing firm where he began his career, Boston-based U.S. Wealth Management.

John David “J.D.” Joyce and his team moved to Wells Fargo Advisors Financial Network in Houston on May 23.

Advisors with at least some technology integration can perform a whole lot better than RIAs with none, according to a report from Aite Group, the Boston-based research and consulting company.

Want to boost your clients’ retirement income by 29%? There are five things advisors can do to help clients meet their retirement goals

The future of a uniform fiduciary standard regulating the broker-dealer and RIA space is unlikely, according to Barbara Roper, director of investor protection for the Consumer Federation of America.

Irascible investing legend John Bogle questioned whether target-date mutual funds are the right retirement investment choice in all cases.

RCAP CEO Nick Schorsch says the deal could be a "tipping point" in a new wave of private equity investment in independent broker-dealers.

The most important thing an advisor can do for clients is to integrate their investment portfolios with the rest of their financial needs, according to Morningstar’s director of global fund research.

Buyer beware! The Financial Industry Regulatory Authority issued an investor alert regarding the burgeoning alternative mutual fund asset class.

A difficult May in the municipal bond market has put investors on the defensive.

Though they face similar challenges in preparing for their financial futures, men and women think about and respond to them in divergent ways, according to research released Wednesday as part of Northwestern Mutual’s ongoing 2013 Planning and Progress Study.

Who are the top independent broker-dealers by net capital? Check out a countdown that examines total net capital and net excess capital, as well as where each firm stood on this year's FP50 list.

A week after investors pulled out of low-grade bond funds at record levels, ING’s chief investment officer Christine Hurtsellers said that the selloff is “overdone.”

Huntington, NY-based Catalyst Capital Advisors has added George Amrhein as Director of Business Development to build upon the firm’s key distribution relationships and manage the continued expansion of its lineup of mutual funds.