Results for "money managers"

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Finra bars former rep for not providing requested information

April 12, 2018

The Financial Industry Regulatory Authority Inc. has barred former representative Kevin Lee for not providing the complete information it requested as part of an investigation. In a letter of acceptance, waiver and consent, Finra said it was...

A radical idea: Pay clients for the privilege of managing their funds

May 2, 2018

The asset management industry is in a funk. The popularity of low-cost index trackers is crushing fees across the board, while Morgan Stanley reckons a shift to performance-based charges threatens half of the industry's profit. Divyesh Hindocha...

Why money managers are paid so much is a mystery

March 19, 2018

Why do workers in the financial industry get paid so much? There are many possible explanations, none of them completely satisfying. The financial industry commands a much larger share of the U.S. economy than in the past, causing some to worry...

Brown Advisory acquires $1 billion Meritage Capital

March 28, 2018

Brown Advisory Inc., an Austin, Texas-based RIA managing $62 billion in assets, has acquired Meritage Capital, an Austin-based firm managing $1 billion. Founded in 2003, Meritage has an eight-person staff, which will join the Brown firm's offices....

Three indies bring $719 million to Securities America

March 7, 2018

A Super Office of Supervisory Jurisdiction and two independent financial services firms, which collectively manage $719 million in assets, have affiliated with Securities America Inc. The three are the Gandet Group, of Manahawkin, N.J.; Vizionary...

Clients want better investment management, survey finds

November 15, 2017

Wealthy clients are generally satisfied with their advisers but they want more in terms of investment returns and value for fees, a new survey from the Investments & Wealth Institute found. The group, formerly known as IMCA, found that investors...

Advisers need to crack fund managers' narrative

November 17, 2014

Asset managers need to create a narrative about what they do and how they do it. Lacking a story, it’s all about the numbers. You might say, “Well, that’s the way it should be. This is a performance game.” Except that’s unrealistic....

Vanguard's got its own 'Apple' problem

January 25, 2013

At first glance, the largest company in the world and the largest mutual fund company in the world wouldn't seem to have much in common. Apple Inc. grew to the biggest company on the planet by pumping out hip and sexy products that were gobbled...

Why conventional wisdom Is wrong about manager diversification

June 12, 2012

The conventional wisdom is back-to-front. There is good reason to argue that investors should start to diversify their exposure to passive managers, while diversifying their exposure to active manager less. Investors above a certain size typically...

Ways for financial advisers to face down the debt supercycle

August 30, 2016

With the rapid assumption of debt by governments, businesses, and consumers worldwide, global economies are finding themselves in the midst of a debt supercycle. This period of intense and persistent increase in leverage throughout the global...

Few financial advisers pitch ESG funds to clients. Missed opportunity?

August 22, 2016

My firm has sponsored a series of surveys, trying to understand what is driving retail investors. Some of the answers have come back exactly as expected — consumers value high performance, they don't believe they have enough saved for retirement...

Money managers with in-house 401(k) plan options at risk of employee lawsuits: lawyers

July 20, 2016

Asset managers that limit employee retirement plan investment choices to proprietary, in-house mutual funds are putting a legal target on their backs, attorneys said. In the context of a rash of lawsuits by employees against financial services...

George Soros embraces his inner bear

June 10, 2016

George Soros is back with a bearish take on the global economy. The billionaire hedge-fund founder and philanthropist, who had taken a break from trading, recently sold equities and purchased safe-haven gold and gold miners. Financial advisers...

Nomura to pay $1 billion for stake in American Century

December 21, 2015

Nomura Holdings Inc., Japan's biggest brokerage, plans to pay about $1 billion for a stake of around 40% in U.S. money manager American Century Investments, according to a person familiar with the matter. The purchase from Canadian Imperial...

Fidelity Investments closes door on institutional business as retail remains key focus

November 16, 2015

The formation of Fidelity Institutional Asset Management marks the end of the road for Fidelity Investments' long-struggling institutional business, Pyramis Global Advisors. Sources said that throughout its 10-year existence, Pyramis faced issues...

Bill Gross irresistible to new partner Kapstream Capital's Palghat

July 2, 2015

When Bill Gross left Pacific Investment Management Co. in September last year, his old colleague Kumar Palghat rang him to see how things were going. About a month later he got an offer he couldn't refuse. The Sydney-based money manager first...

Fund family with 25% women managers far exceeds industry average

June 2, 2015

A quarter of Dodge and Cox's portfolio managers are women, placing the San Francisco-based firm at the top of the industry for female representation in this asset management role, according to a new study that found more than 90% of fund managers...

Overseas expansion in the cards for new Loomis Sayles CEO Charleston

May 29, 2015

As the new CEO of Loomis Sayles & Co. LP, Kevin Charleston plans to maintain the same investment culture his predecessor, Robert J. Blanding, established, while also growing the Boston-based firm's global footprint. Mr. Charleston assumed the...

Pimco's CIO for global equities, Maisonneuve, leaving after less than two years

May 14, 2015

Virginie Maisonneuve, Pimco's chief investment officer for global equities, is resigning as the firm closes two equity strategies, the money management firm disclosed in a statement on Thursday. Ms. Maisonneuve joined Pacific Investment Management...

Mark Mobius, star developing markets manager, stumbles

May 6, 2015

For a quarter of a century the name Mark Mobius has been synonymous with investing in developing markets. A bald, energetic, New York native who often dresses in white suits, Mr. Mobius is constantly tweeting and appearing on television from...

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