Results for "mutual funds & ETFs"

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FSC Securities to pay $592,000 for failure to supervise leveraged ETFs

August 14, 2017

FSC Securities Corp., one of the Advisor Group broker-dealers, is the latest firm to pay significant restitution and fines stemming from problems supervising trades of leveraged, inverse exchange traded funds. The Financial Industry Regulatory...

Investors pour money into bonds, international in July

August 10, 2017

If you're an adviser, you're probably wondering: Who is pouring all that money into bond funds? It's not an easy question to answer, but at least part of the answer can be found in the mirror. Most mutual fund inflows come via the institutional...

Wallace Weitz: What it's like to be a value investor in a growth market

August 8, 2017

What's it like being a value investor these days? Wallace Weitz, head of the Weitz Funds, is one of the nation's best-known value investors, thanks in large part to the performance of his funds in the 1980s and 1990s. His standout fund, however,...

Vanguard welcomes fee wars with rivals Fidelity and BlackRock

August 4, 2017

Vanguard Group has a message for competitors trying to undercut its prices: Game on. In recent years, rival asset managers such as Fidelity Investments and BlackRock Inc. have cut their fund fees to match or beat Vanguard, the low-cost investing...

5 balanced funds have managed to beat the S&P 500 in the past decade

August 4, 2017

The 2007-2009 bear market started Oct. 9, 2007 and, in the course of 356 miserable trading days, clawed the Standard & Poor's 500 stock index to a 57% loss. Thanks to that soul-searing bear market, the S&P has averaged a 7.74% annual total return...

Fiduciary rule will top agenda for new head of SEC's Division of Investment Management

August 3, 2017

Leadership of the Securities and Exchange Commission's division that writes rules governing investment advisers is changing hands, as the agency renews its effort to raise advice standards. The SEC announced on Thursday that the director of...

8 funds that have outperformed over the past 50 years

July 31, 2017

By most measures, 50 years is a long-term investment horizon. The past 50 years have seen wars in Vietnam, Iraq and Afghanistan, the invention of the internet and the first man on the moon. They have also seen nine declines in the Dow Jones...

Fidelity Investments fires another salvo in the fee wars

July 31, 2017

The great fee war rolls on: Fidelity Investments Monday announced fee cuts to 14 of its stock and bond index funds, saying that they now have cheaper comparable funds than archrival Vanguard. The average expenses across Fidelity's stock and...

FS Investments promotes Mike Kelly to president

July 26, 2017

FS Investments has promoted Mike Kelly, currently its chief investment officer, to president. He will continue to lead the firm's investment efforts. The firm, based in Philadelphia, manages alternative assets and has more than $20 billion in...

Vanguard winning at bond inflows, too

July 25, 2017

Most people know that Vanguard has been vacuuming up stock assets faster than an elephant in a peanut warehouse. But what company is leading in scooping up bond-fund assets? That would be Vanguard. Of the 30 top-selling taxable bond mutual funds...

Morningstar: Advisers are overreacting to fund manager changes

July 24, 2017

If you're quick to move clients out of a fund because of a management change, a new paper by Morningstar has a word of advice for you: Knock it off. The paper, released Monday, looked at returns from actively managed stock and bond fund from...

How to Invest for the Rest of 2017: Our Mid-Year 2017 Outlook

July 19, 2017

Heading into the second half of 2017, we believe the elongated U.S. credit and business cycle – currently eight years old and counting – will continue through the end of the year. Yet for the first time in almost a decade, the risks to the...

Shifting DCIO distribution offers opportunity for 401(k) advisers

July 19, 2017

In the large defined-contribution-plan market — the realm of plans larger than $1 billion — the norm is for money managers to sell directly to plan sponsors and work cooperatively with the plan's consultants. For smaller plans, the defined...

Activists add tailwinds to closed-end funds

July 14, 2017

If you're an adviser, you probably don't want activists banging on your door. But if you're a closed-end fund investor, activists are good thing indeed, and they're making big changes in the industry. Closed-end funds are the coelacanths of...

LPL to roll out new mutual fund platform as DOL fiduciary rule takes effect

July 13, 2017

LPL Financial announced Thursday it plans to roll out a new mutual fund platform to advisers early next year to eliminate perceived conflicts of interest in compensation as the Labor Department's fiduciary rule is set to take full effect. LPL,...

A shares live on, despite some hefty upfront sales charges

July 13, 2017

Remember the days when your clients paid you upfront to buy a mutual fund? Apparently, those days aren't entirely gone. The 15 largest A share classes saw net new cash flow of $8.1 billion over the past 12 months, according to Morningstar Inc....

Asset management revenue, profits down in 2016 for first time since 2008

July 12, 2017

Rising markets aren't a haven for money managers. For the first year since the 2008 financial crisis, revenue earned by asset management firms globally fell in 2016 along with profits, according to a report Tuesday by Boston Consulting Group....

Fund manager MFS sued for self-dealing in its 401(k) plans

July 10, 2017

MFS Investment Management has been sued for self-dealing in its company 401(k) plans, becoming the latest fund firm to be targeted for stocking its retirement plan primarily with proprietary investments. The plaintiff in the lawsuit, Velazquez...

Will new smart-beta strategies boost target-date funds' performance?

July 8, 2017

Target-date funds are the Energizer Bunny of the mutual fund world. As the industry struggles furiously for investors' money, target-date funds slide blithely by, with billions of dollars in new money flowing in. Now they're adding a little...

Dominated by women, tech-heavy fund is up 36% on the year

July 6, 2017

Zevenbergen Genea doesn't exactly roll off the tongue. But so far, the $5.7 million fund is on a roll. The fund, which trades under the ticker ZVGNX, is a concentrated, go-anywhere fund that is largely focused in technology. So far this year,...

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