A Counterintuitive Way to Keep Clients Happier
Risk-profiling firm Riskalyze argues that, paradoxically, advisors win by initiating relationships based on risk rather than return.
SEC Fines BlackRock Over Energy Fund Manager Who Owned Oil Company
BlackRock Advisors will pay $12 million for not disclosing that a top manager's portfolio was heavily invested in a venture he had a stake in.
15 Cheapest States for Long-Term Care Costs: 2015
The old saw about “what goes up must come down” obviously wasn’t coined by someone thinking about the costs of long-term care.
Volcker Urges Merging Regulators
Former Fed Chairman Paul Volcker is pushing for a change that would put at least one top regulator out of business.
Schorsch Accused of $900M Fee-Driven Scheme
Behind the accounting errors that knocked $4 billion off ARCP’s market value was a hidden scheme, investors said in a lawsuit.
Morgan Stanley Tops Q1 Estimates; Wealth Unit Boosts Profits
The firm's advisor headcount fell below 16,000 advisors, but production rose to nearly $960,000.
FINRA Launches Helpline for Seniors
"Older investors are only a phone call away from getting help with questions or concerns they may have regarding their investments," says FINRA's Axelrod.
How to Mimic Hedge Funds With ETFs
It's a complicated, but viable, process for advisors, says Adam Patti of IndexIQ.
Top Portfolio Products: SSGA Rolls Out Multi-Factor SPDR ETF
Plus, Exceed Investments adds fund that tracks Nasdaq’s structured-product index.
Raymond James Kicks Off National Indie Event
The Las Vegas-based conference is drawing nearly 1,900 independent reps and over 70 prospects.