The regulator is fighting a decision by its administrative judge to dismiss charges accusing two financial advisers of <a href="http://www.investmentnews.com/article/20140902/FREE/140909990/sec-charges-investment-adviser-with-fraud-for-not-telling-clients-of" target="_blank">not informing clients</a> they were paid by Fidelity Investments to sell certain mutual funds.
The proliferation of digital platforms puts added emphasis on due diligence.
Can advisers accepting fees from custodians really be fiduciaries?
Sean Meadows pleaded guilty to diverting $10 million for business and personal expenses, including gambling and “adult entertainment.”
Digital investment platforms with human advisers bring in account balances 10 times higher on average than regular robo-advisers.
You may think they're as bullish as you are, but below the bravado, they may be nervous.
<i>Breakfast with Benjamin</i>: Which group is more nervous about the state of the markets? Advisers often misread their own tolerance for risk.
<i>Breakfast with Benjamin</i>: Greek voters opt for a collision course with the European Union over austerity. Go figure.
Markets and wealthier clients are driving up assets under management and profits.
Partnering with Montreal-based Dorchester Wealth Management.
Agency says Dawn J. Bennett and her firm inflated numbers from at least 2009 to February 2011 to try and lure in clients to new firm.
Administrative law judge rules against the agency in closely watched case over disclosure of Fidelity payments for mutual fund sales.
Institutional Intelligent Portfolios compels advisers to keep at least 4% cash allocation, offers platform for 10 bps.
Mark Johannessen says firms need to help each staff member grow and feel respected as a professional. Here's how he does it.
Advisers have a lot to consider when picking an automated investment service to use with their clients &mdash; here is a rundown of the features and functionality of the top adviser-targeted platforms.
Retail investors respond in large numbers to the Intelligent Portfolios offering.
More than 20,000 independent RIAs in the U.S. increased assets 82% to $2.3 trillion from 2007 to 2013 while assets at largest retail brokerages rose 8.2% to $6.2 trillion.
Bronfman E.L. Rothschild buys Neal Simon's Highline Wealth Management, creating a $3.6 billion firm &mdash; the latest example of big consolidations among independent advisers.
Where the RIA wealth is spread out across the country, plus the 10 biggest firms
