With total fundraising at $15 million, firm plans to bolster product, boost distribution.
ACLI chief calls N.Y. superintendent's comments 'inaccurate' and 'irresponsible.'
After settling with five independent broker-dealers in May over nontraded REIT sales practices with a $6.1 million deal, Massachusetts' top securities cop, William Galvin, has closed Round 2. Bruce Kelly has the latest details.
A longtime securities regulator has been named to lead the Securities and Exchange Commission's inspections of broker-dealers.
A UBS analyst has increased the price target of LPL's shares, citing the potential for continued growth at the firm, which struggled — as did competitors — with recruiting in the first half of the year, but saw a recent uptick in additions.
Firm's crop of recent hires for its wealth management unit have managed more than $5.2 billion.
With all the buzz surrounding Apple's introduction of two new iPhones, <i>InvestmentNews</i> polled its panel of tech experts to find out if advisers should buy it. Here's what they said.
Universal life policies sold in the '80s and '90s are at risk of lapsing, causing problems for clients and advisers.
The largest U.S. bank by assets is weighing whether to ban traders from using electronic chat rooms to communicate with peers at other firms as the forums draw scrutiny from global regulators.
Sugar surpasses Salesforce in allowing for an adviser-tailored platform, says ProTracker's Mackensen.
Preparedness may mean staying on the job, but burned-out clients need an incentive.
Fidelity, FileThis apps help increase data accessibility for advisers
Despite a permanent tax exemption, investors of all sizes have issues to consider
If you are looking for military veterans to thank for their service on Veteran's Day, chances are you won't have to look far.
Total Rebalance Expert on Friday announced the acquisition of PowerAdvisor's portfolio management software suite from Cornerstone Revolutions. The combination of Total Rebalance's portfolio rebalancing platform with PowerAdvisor's system will create a complete portfolio management solution for registered investment advisers, Total Rebalance chief executive Sheryl Rowling said.
The complaint alleges self-dealing, excessive fees in managing the $1 billion plan.
