As M&A boosts the size of registered investment advisers, here's a list of the biggest fee-only firms, based on the data they report on their form ADV to the SEC.
In comment letters, fund companies and industry groups ask for more clarity from the regulator.
Total U.S. annuity sales rose 16% to $79.4 billion in the second quarter, nearly the exact opposite of the S&P 500's return.
The fintech has purchased UBS Fund Advisor, the wirehouse’s legacy proprietary U.S. alternative investment manager and feeder fund platform that represents $7 billion in client assets.
A new survey shows 47% of plan sponsors are considering changing advisers and 48% are thinking about switching record keepers.
Here are some of the things about working as an independent adviser that may surprise those who've made the jump from a wirehouse.
A client event features the life and art of Suzie Zuzek, the woman who designed the fabrics used in Lilly Pulitzer's clothing line.
Bills in both the House and Senate would establish an SEC grant program to support investor advocacy clinics at law schools.
The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.
The insurer will pay almost $21.6 million to consumers and their beneficiaries, along with $2.2 million to the New York State Medicaid program and a $2.5 million penalty to New York state.
Brian Falconer and 16 reps operate as Wealth Management Resource Group in Braintree, Massachusetts.
The world's largest ETF, the $387 billion SPDR S&P 500 Trust, continues to fall victim to the trend as money managers gravitate to its lower-cost clone.
The asset manager said requiring new disclosures for funds that just consider ESG criteria among many other factors could muddle the situation.
The wave of IPOs among mega RIAs has been building for years, but some in the industry wonder how many firms can weather the challenges of being a public company.
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.
The nonprofit organization announced that grants increased 14% during the first half of 2022, totaling a record $952 million.
New IRS rules complicate the calculation of required minimum distributions for those who have inherited individual retirement accounts.
The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.
The addition of E. F. Heagan & Associates and Mandichak Investment Retirement & Estate Planning brings more than 500 new clients.
