A multimillion-dollar campaign to encourage investors to use credentialed financial planners to manage their money launches this week with a print advertisement in three business magazines.
James Barnette Jr. never had trouble getting clients, largely because he focused on a very specific niche: providing retirement plans to American educators who work abroad.
In 2007, Rick Kahler lost five of his six employees within two months.
TD Ameritrade Holding Corp. said Tuesday its second-quarter profit jumped 23 percent thanks to its latest acquisition.
E-Trade Financial Corp. shares surged late Wednesday after media reports fed speculation that rival online broker TD Ameritrade Holding Corp. could make a bid for the company.
Plenty of complications in ensuring the wealthy pay same percentage as middle-class earners; 'opening the door for tax lawyers'
Clear explanation will help ease fears, says analyst; still, some clients reluctant to pay for advice
J.P. Morgan Asset Management will replace Columbia Management Group as investment manager for New York's $1.9 billion adviser-sold college savings plan
The awards, which will be presented Sept. 14, honor financial advisers who make a difference in their communities.
Taxpayers will be able to examine the qualifications of paid tax-return preparers in a database being built by the IRS that may be available as soon as 2013.
Typical family office invests more than a quarter of its clients' assets with hedge funds; share could be even larger
Is this a trend? Another private equity firm has invested in the RIA space -- and this time the buyer is the giant Carlyle Group.
SEC vote requires hedgies, PE firms to register with commission; exemption granted for family offices
'Stay bonus' be damned: LPL's gain is Securities America's loss as two top producers depart
The recent appellate court decision rejecting an SEC rule on proxy access for shareholders was a signal to the commission to slow down its rulemaking and take more care in measuring the costs versus the benefits of any new rule
The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp.
Investors in junk bond funds withdrew $2.1B from the funds -- in a single day. As one portfolio manager sayd: 'There's clearly a panic going on in the market.'
Bank of America Merrill Lynch has brought on six new financial advisers in Texas, Pennsylvania and California.
A Philadelphia registered investment adviser agreed to pay nearly $11 million for misappropriating funds from clients who were told their money would support socially conscious investments, while it really went to pay the adviser's debts and for other purposes, according to federal regulators.
