In a bid to sync up with Dodd-Frank, the Commission plans to hike the net-worth requirement for 'accredited investors.'
Two out of three say they have little or no knowledge of exchange-traded funds; 'too complicated' for 15%
Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to <i>InvestmentNews</i> data.
The U.S. Securities and Exchange Commission froze the assets of a North Carolina investment firm and its owner, claiming he diverted more than $16 million from clients including pension funds, school endowments and hospitals.
Pledges run the gamut from practical to whimsical; taxation, meditation mentioned
Some financial advisers worry that the tax agreement between congressional Republicans and the White House will discourage some clients from seeking advice on estate planning.
For financial advisers, Chicago is definitely not a second city.
Exchange-traded funds that follow the same index should provide almost identical returns. But they don't, thus complicating the financial adviser's job of choosing among the 1,000-plus ETFs for sale in the United States.
Financial advisers are a grateful tribe, and one thing they all agree on as the nation counts down to Thanksgiving is that clients rank high on their list of blessings.
Financial advisers seeking to improve their relationships with clients following the recession find themselves battling their own firms, according to a new survey.
