Vanguard’s advisory division will pay over $19 million to settle Securities and Exchange Commission charges that it didn’t disclose to clients that its advisors had financial incentives to funnel them ...

(Bloomberg) -- Retail trading platform Interactive Brokers Group Inc. will be added to the S&P 500 index later this week, replacing Walgreens Boots Alliance Inc. on the closely watched gauge of US ...

A FINRA-suspended broker known as “K Money” was arrested and faces charges of defrauding social media followers of more than $800,000. According to the Justice Department, Kenneth Thom was charged ...

Concurrent Investment Advisors, a hybrid registered investment advisor with a 1099 affiliation model, has made a minority investment in a Longboat Key, Fla.-based asset manager. Concurrent, which is ...

The top SMA managers of the the decade, per Informa Investment Solutions’ PSN Top Gun awards.

The Mather Group acquires Pillar Wealth Management, Great Diamond Partners adds $125M advisor, Aspiriant names six new partners, and more industry moves.

Wealth Enhancement, an acquisitive Minneapolis-based RIA with $107 billion in client assets, has acquired XO Wealth Management, a Dallas-based independent RIA. XO Wealth was founded in 2016 and ...

Brian Spinelli, co-CIO, talks about why the firm prefers passive strategies for U.S. large caps, where it sees opportunities in private markets and how it approaches tax considerations.

By assuming existing loans, investors can mitigate the risk from rising interest rates and ultimately underwrite a greater leveraged return, market participants say.

Major asset managers made big moves in the direct indexing space in 2020. Will advisors follow along?

Higher interest rates that have become an impediment to transactions in the broader commercial real estate investment sales market are having the opposite effect in the sale-leaseback sector ...

Adero Partners CIO Greg Warner says his evidence-based approach creates the highest probability of success.