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Custodians jump into the robo game

Oct 20, 2014

New tech offerings designed to help advisers compete against online investment managers.

Options market action suggests investor fear has peaked

Oct 18, 2014

Bulls looking for signs that Friday's rally in stocks is the start of something bigger are taking signals from options and S&P 500 Index charts. And it's looking good.

Former Stratton Oakmont broker charged with fraud

Oct 17, 2014

SEC says Anthony Coronati used phony tech investments to fund a Caribbean vacation and plastic surgery.

The regulatory hits keep coming for LPL Financial

Oct 17, 2014

The rest of this week's must-read stories include Betterment's robo-adviser for humans, big changes afoot in Social Security, and a focus on picking the right alternatives for clients

Morgan Stanley hits profitability goal with fewer advisers

Oct 17, 2014

Morgan Stanley's wealth management unit reaches CEO's 2015 profitability goal early with 22% profit margins in the third quarter

Advisers tested by spike in market volatility

Oct 17, 2014

Wild week in financial markets wrapping up with rebound in stocks as bonds decline.

Wealth management a growing force in bank fortunes

Oct 17, 2014

Third-quarter earnings reports show that once again, wirehouses are driving revenue at the giant banks that own them.

Market volatility gives liquid alts first real test

Oct 17, 2014

One upside to the stock market carnage of the past week or two is that the wildly popular alternative-strategy mutual funds, better known as liquid alts, have finally been tested on the open road.

Advisory firms aren't worth as much as owners think

Oct 17, 2014

Despite high prices in this seller's market, Cerulli study finds advisers still unrealistic about what their practices are worth.

SEC hits record enforcement actions in fiscal 2014

Oct 16, 2014

Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.

Schorsch empire strikes back on perception of illiquid investments

Oct 16, 2014

Nicholas Schorsch's camp opposes regulatory efforts to limit investor exposure to illiquid products such as nontraded REITs.

Reps selling nontraded REITs could be swimming in liquidity

Oct 16, 2014

Up to $13.6 billion in fresh equity expected to flow from listings, mergers and special distributions.

Cliff Asness says market volatility is a good reason to diversify

Oct 16, 2014

Advisers should look at alts, but fees are too high, he contends.

Ameriprise adviser photo

Ex-Ameriprise adviser pleads guilty to stealing nearly $1 million

Oct 16, 2014

Susan Walker admitted to accusations she used $980,000 of client assets to pay for personal expenses, including vacations and private school tuition.

How to explain alternative investments to clients

Oct 16, 2014

Talking clients through the complexities of alternative investments requires simplicity and a focus on function.

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