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Independent advisers claim that new clients who previously worked with brokers lack proper planning documents.

Odds are—no pun intended—you’ve been handed (or e-mailed) an NCAA Division 1 basketball grid this week.

XShares Advisors LLC has added nine HealthShares exchange-traded funds (ETFs) to its lineup, bringing the number of these publicly traded funds to 14.

If your email has been as plagued with stock “tips″ as much as mine, you’ll be happy to know that the SEC is on the case.

A provider search is often one of the most time consuming parts of a client relationship.

Congressional hearings focus on whether fees paid by 401(k) participants are fair and properly disclosed.

Financial advisers looking to offer small business owners a defined benefit plan have a new resource.

XTF has introduced a ratings service that rates ETFs based on 16 metrics over two broad categories: investment metrics and structural integrity.

Charles Schwab Corp. has tapped Walt Bettinger II, head of its investor services unit, as president and chief operating officer.

There appear to be two great debates of our time—Is global warming (oops, I mean global climate change) real? and How much do people need to save for...

By the end of 2010, UBS, the world's largest money manager, plans to have $250 billion in ultra-high net worth client assets under management, and about 400 advisers...

As anticipated, Putnam Investments has announced that it will be acquired from Marsh&McLennan Companies by Great-West Lifeco Inc., a subsidiary of Power Financial Corporation.

Adherents of the so-called Super Bowl Theory are no doubt grinning ear-to-ear these days, regardless of Sunday’s winner.

A recent study by the Turnstone Advisory Group LLC in Marina del Rey, California has found that lifecycle funds are doing a good job for their investors but...

New York-based XShares Advisors LLC launched five exchange-traded funds (ETFs) on the New York Stock Exchange Tuesday, with each aimed at a segment of the health care, life...

In the next decade, New York may lose its position as financial capital of the world to a city such as London, Dubai, Hong Kong, or Tokyo, which...

Pershing LLC has formed an alliance with PriceMetrix Inc. that will help Pershing’s introducing broker-dealer customers better evaluate their businesses and identify growth opportunities.

The latest Standard&Poor’s Indices Versus Active Funds Scorecard (SPIVA) shows the S&P 500 outperformed 69.1% of large-cap funds.

Schwab Institutional is expanding its offering to help financial advisers leaving traditional financial companies to go it alone.

Tax-exempt sector employees, those in the higher education, health care, government, foundations, and faith-based organization sectors, have saved an average of $48,000 in their defined contribution (DC) plans,...