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A 401(k) robo-adviser with more than $5 billion in assets under management stopped servicing clients in November and has sold its technology to Morgan Stanley.

Retirement plan advisers should be aware both of SEC charges against those offering ESG funds, as well as the new DOL rule paving the way for ESG use...

$5 billion multi-family office and investment firm Nordwand Capital launches in Pennsylvania; Millennium Trust names new CEO; Cetera bolsters business development team with three new hires; and more.

Various leaders within the SEC discussed in a public seminar today some of the interpretations and applications of the new marketing rule.

The consolidation of DC plan providers may not be as much of a threat to asset managers as some have thought, with recordkeeper integration needs and legal risk...

Credit Suisse Asset Management appoints head of product; Milliman expands Employee Benefits Administration sales team; Strategic Investment Group hires head of non-U.S. equity; and more.

Representatives from NASAA, the SEC, and FINRA spoke about the need for financial advisers and firms to be trained to notice more intelligent, and increasingly bold scams from...

The SEC proposed a new rule Wednesday that would require all open-ended funds, except money market funds and exchange-traded funds, to hold at least 10% of their investments...

Newfront adds senior vice president to retirement team; Mercer Advisors acquires Texas-based Mark D. Cunningham; Pure Financial Advisors adds new CEO; and more.

Morningstar is the latest entrant to tout a direct indexing option for financial advisers, allowing them to invest directly in the underlying stock of indices to offer benefits...

They began with broad adoption at large accounts, and smaller employers are increasingly considering them as a solution for their plans.

An Allianz survey finds another 43% of Americans are also dipping into savings to meet costs. But recent PLANSPONSOR and ICI surveying shows that, at least when it...

The complaint has alleged fiduciary breach under the Investment Advisers Act. 

The Standard partners with Noyo to modernize the customer experience; Abel Noser Solutions and OWL ESG partner to offer ESG consensus ratings system; Quility announces launch of Quility...

Direct indexing is driving growth in personalized account management for tax advantages, value-driven investing. 

FIS names president and CEO; Aon names fiduciary services practice leader; CAPTRUST adds Massachusetts-based Patriot Pension Advisors; and more.

One factor hindering ESG’s adoption is the lack of ESG-focused target-date funds, though several firms are starting to introduce them. 

OneDigital acquires HealthWorks; Edelman Financial Engines acquires RIA Herrmann & Cooke; Hub announces two acquisitions; and more.