Investments

By focusing on the relationship, RIAs can outdo automated investors — and charge accordingly, says CEO Joe Duran.

The answer depends on your perspective, and whether fear or greed is the defining mood on Wall Street.

At some point, stock price gyrations became synonymous with bad performance. Actually, it’s "only a reflection of volatile movements in the market.”

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

Performances of many long volatility strategies, many of which are made accessible via ETN, have been dreadful.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

Like selling a car, asset managers can list their products’ specifications, but that isn’t always enough.

Assets topped $6 trillion as investors continue to move money into passively managed funds.

A spike in volatility and changes in U.S. tax law are some of the reasons why the firm says clients have moved their money in the quarter.

The new fee system will impact more than 800,000 customers.

The shake up could strand investors with hard-to-trade securities.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

The WiseBanyan platform currently has $153 million in assets under management and 32,000 clients.

Candidates need to demonstrate how they have improved their firm's marketing, technology or operations.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

BMO Wealth Management aims to modernize its investment service and give planners better equipment. Others offering automated advice solutions include UBS, Wells Fargo and JPMorgan.

Direct ownership has dropped by $103 billion year over year — and by more than $300 billion since 2010.

Debt is back on the rise, this time led by government.

The continued ascendancy of low-cost passive funds puts pressure on compensation overall, particularly in active management.