The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration cases or the costs for claimants.
The shift from mutual funds to exchange-traded funds has affected almost $100 billion in assets, as investors opt for lower-cost, tax-efficient ETFs over mutual funds.
Desire for more independence, time with clients lead Indiana team to switch from Cetera.
Big growth plans ahead as IN adds more staff, eyes international expansion.
If advisors receive $2,500 or less in commissions and donate the proceeds to charity, they can join the fee-only organization.
Mike Lynch of Hartford Funds talks about the factors that can cause a retiree to return to the workforce.
James Iannazzo made cash transactions totaling close to $846,000 to avoid detection, the regulator alleges.
Banks, traders and support staff in Credit Suisse's investment bank in London, New York and some parts of Asia are expected to bear the brunt of the cuts.
While our economy is built on individuals building new businesses, that requires access to capital, which will be out of reach for many as a result of higher rates. Home equity could provide a solution.
Regulatory changes, social pressure and demand from clients are keeping fund companies focused on ESG, according to a survey.
Frank McKiernan and Jerry Sneed are joining Procyon, a Dynasty Financial network firm, from Baker Tilly Wealth Management.
The voluntary framework published by the International Sustainability Standards Board paves the way for companies across jurisdictions to report uniform climate and sustainability information.
Take a look at the books your colleagues are reading this summer, both for business and for pleasure.
Owners of RIAs want higher prices for their firms now than they did between 2017 and 2019, the last time Fidelity did this study.
The list of priorities put together by the House Committee on Financial Services' ESG working group shows where a Republican administration might be headed.
House conservatives recently recommended raising the retirement age to receive full benefits to 69, a proposal that put the spotlight back on the thorny problem of the program's solvency.
Markowitz was best known as the father of modern portfolio theory, which he introduced in 1952.
The riders attached to a House bill funding the agency will meet resistance in the Democratic-majority Senate.
Financial advisor head count grew by just 2,579 advisors in 2022, while the failure rate among rookie advisors was more than 72%, according to a Cerulli study.
The four advisors control $400 million in client assets and their Elkhorn-based firm is called Omnia Wealth Group.
