Investments

For RCS Capital's expanding empire of advisors and broker-dealers, the sweet spot will be $300,000 to $3M accounts.

As it turns out, larger and smaller RIA firms face similar compliance challenges.

Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices.

From positive outlooks for ETFs to asset managers in Asia gaining a greater portion of pay from net sales, here's top news impacting mutual fund and ETF managers and providers.

Former UBS banker Mark Zaino walked out of court a free man Thursday after a federal judge chose to impose no further sentence on him for his role in rigging municipal bond contracts.

With tactical managers for nearly everything, the hardest part is evaluating these offerings for clients because they all sound great in theory. Here are some ideas on how to approach the evaluation process.

New funds provide hedging tools to limit or amplify clients' currency exposure on their foreign investments.

BlackRock Inc.'s Laurence D. Fink, whose firm is the largest shareholder in companies from Apple Inc. to JPMorgan Chase & Co., is repeating his call to chief executive officers to engage with shareholders and be more transparent about balance-sheet decisions.

See how the sequence of returns affects portfolios differently by comparing three types of clients.

The age of the startup megadeal is dawning.

Firms in the self-serve channel that can "combine delivery mechanisms" will be a "smart bet" going forward," predicts Tiburon managing partner Chip Roame.

Pacific Investment Management Co., the envy of the bond world when it tripled assets following the financial crisis, is finding itself in an unusual role: Playing catch up to competitors in the growing market for exchange- traded funds.

Under Obamacare, advisors can direct clients to health savings accounts, which they can use as medical IRAs.

From FINRA fining two firms to U.S. listed ETFs seeing inflows of $27.94 billion, here's top news impacting mutual fund and ETF managers and providers.

FINRA found that LPL didn’t have a reasonable system in place to determine whether purchases of alternatives would cause a customer’s account to be unsuitably concentrated.

A measured dose of private placements can boost returns for HNW clients willing to hold some illiquid assets.

A measured dose of private placements can boost returns for HNW clients willing to hold some illiquid assets.

Investors can still get performance from the region if they know where to look, say the managers of Matthews Asian Growth & Income.

The dollar gained versus all its major counterparts after Federal Reserve policy makers indicated they’ll probably raise interest rates by the middle of next year with the U.S. economy showing signs of strengthening

A Morningstar Inc. analyst reiterated his top rating for Pacific Investment Management Co.'s Total Return Fund, the world's largest bond fund.