When a firm is acquired, advisors are left wondering what’s next for themselves and for their clients.

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...

A Philadelphia investment advisory firm has agreed to pay $21.5 million to settle U.S. Securities and Exchange Commission civil charges that it fraudulently retained fees belonging to collateralized debt obligation clients...

Can't live with them, can't live without them. | pxel66/iStock/Thinkstock Apparently even advisors trust an algorithm to manage investments. In a recent survey of 134 independent financial advisors, 60 percent said they would trust a so-ca...

Tony Barrett is networking with other minorities to support diversity in the business.

Larry Roth resigned from RCS Capital’s board of directors late Monday to focus his efforts on Cetera Financial Group...

Risk alert. | Copyright Chip Somodevilla, Getty Images The Securities and Exchange Commission is warning broker/dealers that their guardrails around selling so-called structured notes are, almost without exception, weak. The commission iss...