Gough Financial joins the network.
Gough Financial Group, a Wichita, Kan.-based advisory firm with $300 million of assets under management, announced Thursday that it joined Transcendent Advisor Networks, an office of supervisory jurisdict...
Dawn Bennett
The Securities and Exchange Commission is charging Dawn Bennett, the founder and CEO of Bennett Group Financial Services, with fraud for “grossly inflating the amount of managed assets and exaggerating the investment returns a...
Someone had to be first.
Folio Investing and Folio Institutional announced Tuesday that it would be the first broker/dealer to offer NextShares, the actively managed funds that look like exchange-traded funds, directly to individual invest...
Don't forget scissors. | ronstik/iStock/Thinkstock
How much does it really cost to set up a registered investment advisory firm? In a recent blog post, RIA in a Box estimates a solo advisor with less than $20 million in assets would need $...
That's one idea. | Copyright Max Whittaker, Getty Images
Many of the investment innovations cooked up for big institutional players (think pensions, endowments, insurance companies) eventually roll down to the retail channel; consider liab...
Saving for their future. | Glen Cooper/Getty Images
September is known as college savings month, and Ascensus College Savings, a 529 plan provider, is marking the occasion by launching Learn529.com, a website to educate families about coll...
If your clients use messaging apps like WhatsApp, remind them to ignore any stock recommendations they may receive. Rather than being helpful, these messages are likely part of a recent and widespread pump-and-dump scam...
