Wealth management

A founder of Harbor Lights Financial Group said he and his partners scouted possible private equity buyers and decided LPL was the best option for preserving their firm's legacy.

Activist shareholders targeted 449 companies with mostly large market capitalizations.

The wealth management giant questions if there has ever been so large a civil sanction handed down in response to "negligent mistakes" made in an attempt to comply with "unwritten rules."

Mutual funds are losing assets, while ETFs are gaining them. Here's a look at how a pioneering firm has adjusted to a difficult environment in recent years.

While big firms keep getting hit with lawsuits alleging unfair cash sweep policies, MaxMyInterest is generating returns from cash through the competitive marketplace.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

These recoveries don't guarantee a bottom has been reached.

Financial planners have had to field plenty of questions about why they weren't more aggressively chasing returns. With the market correction, they now have a chance to show the benefits of a diversified strategy.

Like cable companies, Fidelity Investments has joined the bundled pricing trend, targeting smaller firms with lower-cost options to access their multiservice platforms.

The planning strategies for large individual equity holdings pose tax, investment and behavioral questions for financial advisors and their customers.