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Stripped of fat commissions, nontraded REIT sales tank

December 7, 2017

The Department of Labor's fiduciary standard, and new securities industry account statement rules for greater clarity in the prices of products, have forced nontraded real estate investment trusts to slice their commissions. Since then, sales...

You owe clients a better grasp on funds and SMAs

December 6, 2017

Meeting clients' investment needs today is challenging. Yet even experienced, sophisticated financial advisers are not taking full advantage of the right investment vehicle. The three most popular vehicles— mutual funds; active and passive...

SEC charges adviser in Dawn Bennett fraud case

December 5, 2017

In connection with its fraud case against Dawn J. Bennett, the Securities and Exchange Commission has charged Bradley C. Mascho, a Maryland-based financial adviser and the onetime chief financial officer of DJB Holdings, with aiding and abetting...

Texas broker-dealer that sold troubled REIT to close

December 4, 2017

A small Texas broker-dealer that was the underwriter and wholesaler for a real estate investment trust under investigation by the FBI is shutting down. Based in Houston, IMS Securities Inc. has informed the Financial Industry Regulatory Authority...

BlackRock, Vanguard on track to manage $20 trillion within a decade

December 4, 2017

Imagine a world in which two asset managers call the shots, in which their wealth exceeds current U.S. GDP and where almost every hedge fund, government and retiree is a customer. It's closer than you think. BlackRock Inc. and Vanguard Group...

Morgan Stanley creates its own robo-adviser

December 4, 2017

Morgan Stanley is trying to get down with the kids. The banking and wealth management powerhouse is starting a new digital investment platform for clients with as little as $5,000 to invest, according to a statement from the company on Monday....

Which investors are most attracted to ESG investments and why?

December 2, 2017

Increasingly, Americans are seeking to link their values to their investment portfolios. But not all advisers feel equipped to dole out advice on responsible investing. See what motivates advisers who back environmental, social and governance...

ESG funds boosted by women and millennial investors

December 2, 2017

Women and millennials are responsible for the doubling of ESG assets to $8.1 trillion worldwide since 2014 — and you can expect that trend to continue. The obvious reason: They have more money, said Jordan Farris, head of ETF product development...

Lynn Tilton loses dispute over her removal from board seats

December 1, 2017

Patriarch Partners Chief Executive Officer Lynn Tilton lost a challenge to her removal by Zohar investment funds from the boards of some portfolio companies she claimed to control. Tilton improperly granted herself permanent control over board...

Take Five with Daniel Chung of the Alger funds

December 1, 2017

Daniel Chung has been chief investment officer of the Alger funds since 2001 and CEO since 2006. Before that, he graduated from Harvard Law School, served as editor of the Harvard Law Review and clerked for Supreme Court Justice Anthony Kennedy....

Senate tax bill is a hike on retail investors

November 30, 2017

Congress is currently working on a massive overhaul to our tax code, and the Republican-led majority appears committed to signing a bill into law before the end of the year. While the proposals have far-reaching impact, one provision proposed...

Texas REIT sues hedge fund boss Kyle Bass

November 30, 2017

A troubled real estate development company in Texas, United Development Funding, on Tuesday filed a lawsuit against hedge fund boss Kyle Bass for making allegedly "false and disparaging statements" in 2015 conveying that various UDF real estate...

Tamarac opens platform to RightCapital

November 30, 2017

Registered investment advisers using RightCapital's financial and tax planning software can now pull in client account information and holdings data directly from Envestnet's Tamarac tool. The integration automatically updates RightCapital daily...

Alternative beta raises the bar on hedge funds

November 30, 2017

Here's a paradox for financial advisers to consider: As it relates to traditional indexing, we would never invest in an active manager in long-only equity without benchmarking them to the relative index. But in the hedge fund world, we've accepted...

Not all smart-beta funds are smart

November 30, 2017

"Smart-beta" strategies are index funds that attempt to beat the market or achieve specific objectives, like higher income or lower risk, through security selection, alternative weighting or some combination of the two. They express active bets,...

Bitcoin price breaks $10,000. Here's what history tells us comes next.

November 29, 2017

Some investors have raised the question: "Is bitcoin a bubble?" This is somewhat like asking whether Taylor Swift makes records, or Kim Jong Un likes rockets. But let's look over the evidence. Economists have long held that investors are rational...

Bank loans or high-yield bonds? Maybe both.

November 28, 2017

Investors searching for income often find it in the below-investment grade credit space. The challenge for advisers becomes, "Where do I put my clients' junk bond dollars to work?" When it comes to investing in below-investment grade credit,...

Vanguard rolls out actively managed factor ETFs

November 28, 2017

Vanguard announced Tuesday its entry into factor ETFs, a move that's a sharp departure from its index-based exchange-traded funds — and, quite possibly, one designed to appeal to advisers. Vanguard plans to roll out six new factor ETFs next...

CFPB in flux as dueling heads show up to lead

November 27, 2017

The next act in the drama playing out over who runs the Consumer Financial Protection Bureau begins Monday as two people are expected to show up to lead the agency, and a federal judge will have to determine the finale. President Donald J. Trump...

Get smart about the future of trading

November 27, 2017

If there was ever an industry in transition, it's the investment management industry. The pace of change is accelerating and transforming investing. This continuous march in industry transformation began in the mid-1970s with the de-regulation...

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