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Roth IRAs hit 20 years old on New Year's Day

December 29, 2017

The first day of 2018 will have special meaning for some retirement planners — the 20th anniversary of the Roth IRA. The plans, which allow individuals to contribute after-tax money into an account that they can withdraw from tax-free in retirement,...

From wall street to main street: a succession story

December 28, 2017

With Live Oak Bank, you get a long-term financial partner that believes in you. We provide financing to support transition costs as a team moves to independence. When you're ready to pass the baton, our Investment Advisor lending team can structure...

RIAs hedge market risk with actively managed funds

December 28, 2017

As the stock market closes in on a solid 22% gain for the year, marking a near-300% gain from the 2009 low point, a growing chorus of financial advisers are citing actively managed strategies as a reasonable hedge at this point in the market...

Time to remind clients why they won't beat the Dow this year

December 28, 2017

As 2017 marches into history, most investors will agree: It was a pretty darn good year. But your clients might need to be reminded why they didn't beat the Standard & Poor's 500 stock index. As of Wednesday, the S&P 500 had clocked a 22.2%...

J.P. Morgan fined $2.8 million for clearing errors

December 27, 2017

The Financial Industry Regulatory Authority has censured J.P. Morgan Securities and fined it $2.8 million over errors in its clearing operation, stemming from systems inherited from Bear Stearns. Finra said that from March 2008, when J.P. Morgan...

Nuveen jumps into changing nontraded REIT market

December 27, 2017

Another major money management firm is taking a run in the volatile nontraded real estate investment trust business, with Nuveen last week registering the Nuveen Global Cities REIT Inc. The company, which does not intend to list on an exchange,...

Your tax bill questions answered

December 27, 2017

InvestmentNews has asked readers to submit their tax questions. Here are the first three of them. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at clatham@investmentnews.com. QUESTION:...

4 questions to ask before doing a 401(k) plan re-enrollment

December 22, 2017

Having a process to help plan sponsors with 401(k) plan re-enrollments is becoming table stakes for retirement plan advisers. Employers do re-enrollments to make sure plan participants have appropriate asset allocations and savings rates. During...

Five obstacles to true tax optimization

December 22, 2017

As we approach year end, tax considerations bubble up to the top of the portfolio management agenda for advisers. As they weigh tax benefit claims made by competing managers, the cynicism and confusion around the claims made is real. There are...

Avoid these bond-buying pitfalls

December 22, 2017

Nearly every day, I see municipal bonds trading on various platforms at higher prices than I've been watching them trade elsewhere. And what bothers me most is that I know that behind those trades are real people for whom the stakes of making...

After a superb 2017, brokerage stocks should continue to roll next year

December 22, 2017

With the broad market rising throughout 2017, stocks of brokerage firms shined. The iShares U.S. broker-dealers and securities exchanges ETF posted an increase of 26% for the year through trading Friday morning, while the S&P 500 index was up...

Digital marketplaces aim to ease RIA access to alternative investments

December 22, 2017

Advisers are expected to increase their use of alternative investments in 2018, and technology vendors are eager to meet the demand. Companies like iCapital Network and CAIS are providing digital marketplaces to help providers get products like...

Active Management: Why Challenge the Index?

December 21, 2017

While the active vs. passive debate has raged for decades, the current bull market has many convinced that all passive portfolios can declare victory. But a closer look at the limitations of many passive strategies – in particular the market-capitalization...

Silver lining in BDC fundraising figures

December 21, 2017

The figures are in and they're miserable. During the first three quarters of this year, BDCs raised just $624 million ($832 million annualized) versus $1.5 billion last year. Worse, capital formation is off from the 2014 peak of $5.5 billion,...

Bitcoin frenzy sparks Finra cryptocurrency warning

December 21, 2017

The Financial Industry Regulatory Authority Inc. has issued an investor alert warning investors to beware of potential stock scams in connection with companies associated with cryptocurrencies, such as bitcoin, that tout high returns. "Unrealistic...

Outlook 2018: Fund companies weigh in

December 21, 2017

2017 will go down in history as a very good year for stock investors. The S&P 500 index soared 21%, including reinvested dividends, and the MSCI EAFE international index jumped 22%. Even bonds eked out some gains, despite an increasingly hawkish...

SEC charges Woodbridge Group with running $1.2 billion Ponzi scheme

December 21, 2017

The Woodbridge Group of Companies and its founder, Robert Shapiro, were charged on Thursday by the Securities and Exchange Commission with running a massive, $1.2 billion Ponzi scheme that targeted 8,400 investors. Formerly based in Boca Raton,...

Advisers fear private equity's reach into VAs

December 20, 2017

Editor's note: This story has been updated with information about the sale of Voya Financial's annuity business. Financial advisers have expressed alarm over recent reports of insurers looking to offload large blocks of variable annuities to...

Krawcheck expands Ellevest robo to three service levels with more human advice

December 20, 2017

Sallie Krawcheck is using a recent infusion of venture capital to expand the offering of Ellevest, a digital-advice platform for women, to three service levels. Investors can access the robo-adviser by itself for 25 basis points (formerly 50...

GMO favors emerging markets value stocks

December 20, 2017

If the U.S. stock market seems overvalued to you, some prominent analysts are recommending a low-cost alternative — emerging markets stocks. If that seems like lighting a damp Yule log with jet fuel, consider this: The price-to-earnings multiple...

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