Wealth management

Like many trusts, the fund was designed to expire in 25 years, however tying it to the lives of a group of children born in the early 90s extended its own life.

The turnkey asset management platform is targeting enterprise firms willing to pay more than $100,000 per year, CEO Jud Bergman said during an earnings call.

The RIA holding company reports a 30% rise in revenues and 30 M&A deals.

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

If reached, the deal would precede a potential IPO of the $52 billion firm, which oversees asset allocations of domestic and offshore pension funds.

After the divorce, I was broke and in debt. Then my husband sued me.

An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.

Seeking out talent in unlikely places and helping it grow will yield impressive ROI.

Severe declines provide the opportunity to review their portfolios and ensure their current plans support their short- and long-term goals.

The bank, which has made wealth management its central focus, plans to charge its Swiss clients an annual fee of 0.6% on deposits of more than 500,000 euros.

The industry is embracing new technology, big data and alternative investment strategies as clients demand more from funds.

One team wanted more flexibility and time to manage their clients’ financial needs.

The next big institution is going after fintech, but there’s still a long road ahead.

CEO Philip Sanders admits the past two years of the segment’s overhaul have been “a grind,” but he says it’s now ready to grow.

Gaining notoriety and AUM is a challenge without a long-term track record, an extensive distribution network and a well-planned marketing strategy.

If approved, the actively managed product will hold anywhere from 60 to 100 equities across sectors and will have no position holding over 5%.

Asset managers are embracing new distribution technology, big data and alternative investment strategies.

FNG is one of a growing number of actively managed ETFs that have the freedom to tune their exposure whenever they want.

The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.