Practice management

Asset manager will continue to recruit more advisors in the Dallas area.

Despite the fact that the numbers of financial services executives have been slashed by the financial market downturn, Robin Judson sees enough demand for hedge fund, private equity and investment banking know-how to launch her own recruiting firm.

UBS Wealth Management Americas announced on Thursday it hired a pair of New Jersey advisors from Morgan Stanley Smith Barney.

The Securities and Exchange Commission issued a proposal Wednesday to require new disclosures for asset-backed securities.

There is a 20-year age difference between Shelly Church and Ilona Sawin, yet they have found enough common ground to form their own financial advisory team at Raymond James & Associates.

Carlo Chiaese, a Westfield, N.J. investment advisor, was arrested Tuesday for allegedly defrauding a New York City pension fund.

Registered investment advisors’ assets took an $8 trillion hit in 2009, but they’re rebounding this year with $4.6 trillion in gains.

Thirty-four percent are increasing their monthly savings.

Financial planners can be the difference between a successful retirement and a difficult one, according to FinancialPlanners.net.

Equity markets in the United States suffered their second consecutive month of volume dropping more than 20 percent compared to a year ago. Daily volume is off 40 percent from May, the month of the market's Flash Crash.

Basic business practices such as client segmentation separate the winners from the losers among registered investment advisors.

Studies consistently show that emotions and investing don't mix. Here's how to focus clients on their long-term goals rather than their gut instincts in the short term.

Affluent and wealthy investors lower expectations on the economy but start to move their money out of deposits accounts anyway.

Morgan Stanley has outsourced middle and back office services for its Alphas managed account platform to GlobeOp Financial Services.

Court ruling dismissing the securities fraud suit is only one victory in a sea of litigation.

Schwab study finds that strategy is key in effective deployment of tech services

Raymond Tate, formerly a Bank of America Merrill Lynch complex manager in Phoenix joined Wells Fargo Advisors Sept. 7 as a branch manager of its Oakland, Calif., office, according to recruitment firm Willis Consulting in Palo Verdes Estates, Calif.

The two-man team has $225 million in assets under management.

The Internal Revenue Service is getting the word out to employers about a provision in the recently passed Small Business Jobs Act that allows them to amend their 401(k) or 403(b) plans to allow participants to transfer an eligible rollover distribution into a Roth 401(k) or 403(b) account.

Nearly three months after the Dodd-Frank law created the Financial Stability Oversight Council, its first official meeting Friday was not exactly auspicious.