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Clients worried about a stock market crash? Comfort them with cash

October 20, 2017

How do you reassure clients who are worried the next bear market will hit as soon as they retire? Cash. Lots of cash. And plenty of preparation. The stock market's rally is now in its eighth year, and the Standard & Poor's 500 stock index has...

Wealthy families are winning deals away from private equity

October 20, 2017

Michael Gottdenker glimpsed the future over a bowl of pasta earlier this year, and he liked what he saw. The chief executive officer of Hargray Communications, a telecommunications company servicing South Carolina and Georgia, was having lunch...

The Philosophy of Goal-based Investment Planning

October 19, 2017

Dr. Michael Finke, CFP®, Dean and Chief Academic Officer, The American College of Financial Services Most of us view our investment portfolio as numbers on a screen. However, investments represent money that we set aside for some future purpose...

Another thousand Dow points higher, and investors yawn

October 19, 2017

Not so long ago, phones would light up in an adviser's office when the Dow Jones Industrial Average broke through a 1,000-point barrier as customers clamored to invest. Today? "Crickets chirping," said Steve Janachowski, CEO of Brouwer & Janachowski....

Private equity eyes advisory firms, but at what cost?

October 18, 2017

Private equity investors have their eyes on the financial advice market, but there's a debate brewing among industry executives over the merits of using that private capital. "Here's a news flash, Charlie: the independent space has been discovered....

Why are investors still flocking to bonds?

October 18, 2017

Life is full of mysteries. Why are cats terrified of cucumbers? Why does your phone suggest you need a chain saw? And why have investors been putting so much money into bond funds? The last question is particularly vexing if you hold the notion...

Trump-inspired funds bring political twist to ETF market

October 18, 2017

Politics is always a gamble — and a couple of new exchange-traded funds are letting investors put real money on it. Active Weighting Advisors launched two ETFs under the EventShares brand that seek to provide exposure to political and policy-driven...

Private-equity giants start targeting wealthy advisory clients

October 17, 2017

Big Wall Street banks have come to rely on their money-management units as pots of gold in uncertain times for trading revenues. Morgan Stanley is a perfect example; it reported earnings on Tuesday that highlighted its wealth management as a...

TD Ameritrade to bolster lineup of commission-free ETFs

October 16, 2017

TD Ameritrade has expanded its commission-free exchange-traded funds platform to 296 from 100, effective Oct. 17. The participating ETF providers are AGFiQ QuantShares, First Trust Portfolios, iShares ETFs, J.P. Morgan Asset Management, PowerShares...

Hedging stock risk can hedge your business, too

October 16, 2017

Advisers who don't hedge against a bear market should remember that they could be more at risk from the stock market than their clients, according to a white paper by Meb Faber, chief investment officer of Cambria Investment Management. As much...

Why your portfolio may have too much equity risk (Hint: It's your bonds)

October 12, 2017

Industry-wide calls for interest rates to rise over the past five years may be inflicting an unintended toll on portfolios: Many are overexposed to equity and equity-like risk, with little to offset it. When the Fed dropped its target short-term...

Finra flags two ex-Ameriprise reps over margin snafus

October 10, 2017

Two brokers formerly registered with Ameriprise Financial Services Inc. were fined and suspended Monday by the Financial Industry Regulatory Authority Inc., in part due to securities industry rule violations involving customer transactions using...

Finra's Focus on UITs

October 10, 2017

In recent years, the Financial Industry Regulatory Authority, Inc. has been scrutinizing its member broker-dealers' sales, recommendations and procedures relating to investments in unit investment trusts (UITs). Its 2017 Regulatory and Examination...

Searing lessons from the crash of 1987

October 10, 2017

You may know intellectually that playing video games in the swimming pool is a bad idea, but if you actually experience it, you'll learn a lesson you won't quickly forget. Nearly thirty years ago, on Oct. 19, 1987, investors and advisers learned...

Momentum is on a roll. But will it last?

October 9, 2017

In the Great Circle of Life, everything comes back eventually. Vinyl albums, Swedish modern furniture and Marvel superheroes are all good fun. But no one really wants fallout shelters, air raid drills and flint tools to make a comeback. In the...

A primer on stable value funds for retirement plan advisers

October 9, 2017

Retirement plan advisers should not set and forget stable value funds. These funds can be an excellent supporting character in a diversified global portfolio for the right defined-contribution-plan clients. But good advisers take nothing for...

Look for big improvement in funds' 10-year record

October 6, 2017

The next two years are going to be wonderful for a stock fund's 10-year record. The worst bear market since the Great Depression started ten years ago, on Oct. 9, 2007, with the Standard & Poor's 500 stock index at 1,565.15. When it ended, on...

Finra denies WSJ report that regulator has underperforming portfolio

October 6, 2017

A spokeswoman for the Financial Industry Regulatory Authority denies that its investment portfolio has underperformed relevant benchmarks, as a recent Wall Street Journal article asserts. "The portfolio has exceeded Finra's benchmark on a risk-adjusted...

How We're Investing in the Search for a Cancer Cure

October 6, 2017

I hate cancer. I've lost one too many friends to this insidious disease and I've made it a priority to be part of the effort to find a cure for it. Every day, I draw motivation from the people I've lost in my work as Portfolio Manager of Oppenheimer...

Creation of new interval funds outpacing that of nontraded REITs

October 6, 2017

Interval funds look like they are becoming a new favorite alternative investment for brokers and advisers, with the number of new interval funds outpacing nontraded real estate investment trusts for the second year in a row. Through the first...

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