The firm, with $100 million in assets under management, focuses on introducing exchange traded funds.
The SEC has voted to give some non-discretionary advisory accounts limited relief from principal trading restrictions.
It aims to streamline the process of obtaining fund prospectus information while expanding its Mutual Fund Profile Service.
Chief executive Eric Schwartz is handing the title of president to chief operations officer Amy Webber.
NAPFA has teamed up with the Hueler to launch a platform that allows fee-only planners to purchase institutionally priced annuities for their clients.
It’s the latest chapter in whether insurers can sue participants in a municipal bond transactions for securities fraud.
The registered investment adviser will pay $32.5 million to settle market-timing charges with the SEC.
FRM, a London-based global hedge fund manager, will transition its assets to JPMorgan Hedge Fund Services.
Goldman's Global Alpha managers sent a letter to investors saying they would keep the fund open.
NovaStar, the troubled residential lender, will give up its status as a real estate investment trust.
