This month's edition kicks off with the big news that Envestnet is acquiring FolioDynamix, a 'mega-deal' that will bring Envestnet's total assets to $2T.
Sometimes it's better to coordinate claiming strategies where one collects spousal benefits.
Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle.
Executive who rose up at Morgan Stanley also juggles his old job at Fidelity until a replacement is found.
Expectations vs. reality: What investors think – and how advisers plan – for retirement income.
When it comes to retirement, new research underscores how health care, medical expenses and longevity risks are top concerns of investors.
The exam proposal would apply to 'low-risk' branch offices, while the public database proposal would more closely resemble the SEC's Form ADVs.
How to help clients navigate yearly changes that could affect their coverage and costs.
SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.
Sandlapper Securities used a development company that acted as a middleman to rip off investors in saltwater disposal wells, according to the regulator.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
A vow of silence on money issues negatively impacts our relationships and contributes to the financial literacy crisis.
Be glad we've got something to chew on, but don't cheer too loudly, too quickly.
High earners could take advantage of a measure meant to help business owners, straining the IRS.
Recommendations to roll over retirement-plan assets, to transfer IRAs and advice generating additional payments like 12b-1 fees are trouble areas for RIA firms.
New York adviser now living in Egypt, and his operations manager, allegedly bilked seven clients of $378,000.
Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.
Trust arrangements may allow the Playboy magazine founder's third wife to receive an income stream without technically inheriting from the estate.
