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Nasdaq courts advisers with new private-equity trading platform

March 8, 2017

Private-equity managers are poised to start targeting financial advisers and their wealthier clients, thanks to an expanded alternatives platform by Nasdaq Private Markets. Debuting Wednesday as NPM Alternatives, the private-auction marketplace...

Putting alternatives into tax-exempt vehicles

February 28, 2017

Generating adequate income for clients during their retirement is increasingly a challenge for financial advisers. Longer life-spans, rising health costs and ineffective safety nets continue to exacerbate this challenge. Increasing allocations...

Financial advisers bristle at SEC's pitch to redefine 'accredited investor'

February 27, 2017

Financial advisers rejected a recommendation Friday from the acting chairman of the SEC to increase investor access to private and exotic investment strategies that are usually reserved for rich people. "I think this is an awful idea, as awful...

Misclassified fund draws huge assets, then falters

February 16, 2017

The Catalyst Hedged Futures Strategy Fund (HFXIX) was up 6.2% last year, head and shoulders above the average managed futures fund, which fell 2.8%. Performance like that caught investors' eyes. The fund's assets soared from $1.2 billion in...

Elderly investors win $1.25 million Finra arbitration over failed medical start-up investments

February 3, 2017

A Connecticut investment bank this week lost a $1.25 million Finra arbitration award that focused on the alleged sale of unsuitable securities to elderly investors. William Lashlee, 88, and Keith and Joyce McCrea, elderly retirees, alleged in...

Fred Alger Management scoops up Boston-based asset manager

January 18, 2017

Alger Associates, the parent company of Fred Alger Management, is acquiring Weatherbie Capital, a Boston-based registered investment adviser with $800 million under management. The deal, expected to close in March, represents Alger's first acquisition...

Meet the ETF Class of 2016

January 17, 2017

As the exchange-traded fund industry gears up for the Inside ETFs conference in Hollywood, Fla., a look at last year's new funds provides some insights as to what's hot and what's not. Morningstar (MORN) lists 239 ETFs that made their debut...

Smart-beta returns track their Morningstar categories

January 5, 2017

Your fund may have the smartest beta around, but your returns are still ultimately going to stem from the fund's primary investment playground. Smart beta funds are index funds that use a set of rules to modify performance, preferably for the...

Couple wins $922K arbitration claim over illiquid real estate investments

December 15, 2016

Mid Atlantic Capital Corp., an independent broker-dealer, lost a $922,000 arbitration award on Tuesday to a couple who sued the company over sales of illiquid real estate private placements and nontraded real estate investment trusts. The claimants,...

Nontraded BDC sales sink like a stone in 2016

November 22, 2016

Sales of nontraded business development companies are down sharply this year as advisers and their broker-dealers grapple with regulatory changes and uncertainty – the same forces that have also severely dampened sales of nontraded real estate...

Small broker-dealer owner settles with Finra over allegations of concentrating clients in illiquid alts

November 22, 2016

A combative owner of a small broker-dealer has reached a settlement with the Financial Industry Regulatory Authority Inc. over claims that he and his firm had clients overly concentrated in illiquid investments and had used a book he had written...

Alternative strategies fight index investors while longing for a 'black swan' event

November 17, 2016

Ever since the 2008 financial crisis, when virtually every asset class morphed toward a suddenly singular correlation of declines, the case for diversifying into alternative investments has sounded logical. But, also ever since the financial...

When talking to clients about alternative investments, keep it simple: experts

November 16, 2016

The key to helping clients understand and embrace adding exposure to alternative investments is talking plainly and breaking the strategies down to simple terms, according to a panelists speaking Wednesday in Miami at InvestmentNews' Alternative...

SEC uses F-Squared saga to drive home due diligence message

November 10, 2016

By now, the financial advice industry should be familiar with the story behind the rise and fall of F-Squared Investments, especially the fall part that left 13 advisory firms saddled with SEC fines. The short version of the story is that F-Squared...

Advisers brace for the transition toward a President Trump

November 9, 2016

Financial advisers, normally known for preaching calm in times of market stress, are already looking past any short-term volatility following the election of Donald Trump to focus on areas of opportunity. “I think the Republican-led government...

Cautious investors hedge a Donald Trump presidency to the bitter end

November 8, 2016

It's finally here. Election day for the craziest presidential campaign season in modern history. Based on Monday's stock market rally, some are trusting the polls and the momentum of professional politician Hillary Clinton. But some investors...

Handful of mutual funds set up for big capital gains distributions

November 4, 2016

So far, 2016 doesn't look like a year in which investors will be hit hard with mutual fund capital gains distributions. But there are some noteworthy standouts. A “handful of doozies.” The official word from Wells Fargo is that the SEC is...

FolioDynamix acquires Summit Advisor Services for $6 million in wake of Aequitas collapse

November 3, 2016

The failure of alternative investment manager Aequitas Capital Partners continued to ripple through the investment community this week as FolioDynamix acquired adviser technology firm Summit Advisor Services. Dallas-based Summit Advisor Services,...

AlphaCore mutual fund debut rides a long track record

October 31, 2016

Alternative investments shop AlphaCore Capital has made its mutual fund debut with an impressive five-and-a-half-year track record for a fund that technically has a history of just a few weeks, and only about $4 million in seed capital. Despite...

A clear view of alternative strategies is a challenge for financial advisers

October 30, 2016

Gauging the value of an alternative investment has been a real challenge for advisers, particularly in the last eight years. Looking at performance and fees doesn't tell the half of it. Liquid alt strategies are meant to dampen risk and/or magnify...

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