Industry

United Capital Financial Advisers continues its stated growth strategy by buying Rayner & Haynor Investment Counselors, a three-person firm in northern California with $185 million assets under management and serving 83 families...

Nasdaq announced Monday that it will acquire Dorsey, Wright & Associates LLC, an independent registered investment advisory firm that creates so-called "smart-beta" indexes, for $225 million. The move will make Nasdaq one of the...

The Best of 2014 TimArbaev/iStock/Thinkstock 2014 was the year of the robo-advisor and retirement security, according to Lauren Foster on the CFA Institute's Enterprising Investor blog. Foster said that looking forward to 2015, two broad th...

Brokers have long been able to continue selling insurance after being barred or suspended from the securities industry—at least until insurance regulators got wind of it. But it looks as though they may get wind of it even sooner. The Financial I...

Corralling clients to do what you want - and what's in their best interest - is easier said than done. That's why financial advisors need to act as behavioral coaches with investors to get them through some of those tough times. Vanguard Investme...

The XY Planning Network, a virtual community for young financial advisors, announced a host of new compliance services and resources that it hopes will help the next generation of advisors open their own firms...

After his first fiscal year as the Securities and Exchange Commission’s Investor Advocate, Rick Fleming said he is still not ready to make policy recommendations on the issues in his agenda, with one major exception...

monkeybusinessimages/iStock/Thinkstock Anyone with a computer and an E-Trade account can trade stocks these days, but is that actually a good thing? Cullen Roche, the founder of Orcam Financial Group, argues that technology is adding to the ...