Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.
<i>Breakfast with Benjamin</i>: Investment manager Joseph Zada could face 20 years in prison after being convicted for bilking ex-Detroit Red Wings star Sergei Fedorov (pictured) out of $43 million.
Explore adviser compensation in the 150 most populous metros across the country with this interactive map.
Price tags for services vary, and advisers should weigh those against the larger marketing budget.
The former White House intern will be the keynote speaker at the Peak Advisor Alliance Excell conference this fall.
Twelve-year-old shop becomes third Georgia-based firm to join the rollup, which has its eyes on the Southeast.
Custodians are stepping up their game at the same time regulators are putting an emphasis on business continuity and succession
FOLIOfn Investments said it plans to offer the exchange-traded managed funds when they start trading.
The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.
In its sales turnaround, third largest U.S. fund company relies on retention of existing advisers and lower-cost share classes.
More deal sweeteners are being used by custodians to lure big breakaway teams. </br><b><i>(Plus: <a href="http://www.investmentnews.com/section/specialreport/20150809/CLEARING" target="_blank">Our special report on custodians and clearing firms</a>)</b></i>
New data gathered by <i>InvestmentNews</i> shows how these firms stack up
<i>Breakfast with Benjamin</i>: If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire: The sector is still very pricey.
The broker-dealer and its top adviser in Louisiana cut ties after the adviser received a Wells notice announcing a Finra investigation. Adviser says the separation is unrelated.
Curian Capital's unexpected announcement that it is closing shop at year-end has sent the $300 billion TAMP industry scrambling to woo advisers working with the $11 billion platform.
U.S. District Judge Richard J. Leon granted a motion for summary judgment and dismissed the controversial lawsuit against the CFP Board filed by Jeffrey and Kimberly Camarda involving use of the fee-only compensation label.
Investment firm seeks to block action as Dodd-Frank ripple effect seen giving SEC the edge.
The Newport Beach, Calif.-based firm picks up TPW Financial in Boston to bring its assets to $1.4 billion.
<i>Breakfast with Benjamin</i>: Teaching economics to a presidential contender isn't easy. Unless the economic advisers agree with the preconceived views of the candidates, the relationship can be testy and useless.
Northbrook, Ill.-based Relative Value Partners brings to 35 the number of affiliates of the deep-pocketed firm led by CEO Rudy Adolf.
