Results for "mutual funds"

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Insiders may not have as much investing savvy as you think

November 22, 2017

If you were to make broad generalizations about CEOs based on their portraits in annual reports, you'd assume they were all wise titans of business who spend most of their time with their arms crossed, peering into the distance. You might also...

Wells Fargo sees big TDF outflows from mutual funds

November 20, 2017

Target-date funds are on track for a near-record year, but Wells Fargo & Co. doesn't seem to be participating in the boom. TDFs have catapulted to popularity over the past decade as 401(k) plan sponsors' preferred default investment, and flows...

Clayton: SEC targets 'complex, hidden fees'

November 8, 2017

Securities and Exchange Commission Chairman Jay Clayton said on Wednesday the agency is targeting complex and hidden fees that can harm investors — both through enforcement and by clarifying disclosure requirements. In a speech at a Practising...

SEC penalizes UBS $3.5 million for overcharging on funds

October 30, 2017

UBS Financial Services Inc. has agreed to a cease-and-desist order, a censure and a civil penalty of $3.5 million in connection with charges that it failed to provide certain clients with the lowest-cost fund choices to which they were entitled....

Favorite fund companies of fee-based advisers

October 23, 2017

Despite the growing trend toward passive, indexed investing, fund companies known for active management topped the list of favorites among a survey of 1,355 fee-based financial advisers. Source: Cogent Reports.

T. Rowe Price steps up its game to serve financial advisers

October 21, 2017

T. Rowe Price rode the no-load revolution of the 1980s and 1990s, spurning brokers, advisers and the sales loads that enticed them. And to this day, the vast bulk of its $938 billion in assets remains in no-load shares. But in the last few years,...

Best performing funds since '87 crash

October 19, 2017

If you started saving 30 years ago, you got a quick education in the worst Mr. Market can dish out. The Dow Jones industrial average plunged 508 points, or 22.61%, the worst one-day crash in history. Those who weren’t scared out of the stock...

9 ghoulish funds and how they met their demise

October 12, 2017

These doomed mutual funds offered no treats as they slashed investors' accounts. Click through to view 10 scary investments that mostly went to the mutual fund graveyard and left shareholders feeling ghastly.

10 top performing mutual funds and ETFs for the 3rd quarter of 2017

October 2, 2017

The bull market charged ahead in the third quarter, tacking on a 4.48% gain to the Standard & Poor’s 500 stock index. Year-to-date gain: 14.2%. Some funds trampled the S&P 500 in this period. Here are 10 top-performing funds and ETFs for the...

Highland to convert open-end fund to closed-end

September 29, 2017

You've probably heard of closed-end mutual funds converting to open-end funds. But Highland Floating Rate Opportunities Fund (HFRAX) is hoping to go in the other direction, thanks to a potentially massive legal settlement it's expecting from...

SEC fines SunTrust for recommending higher-cost fund shares

September 14, 2017

The Securities and Exchange Commission has charged a unit of SunTrust Banks with improperly recommending more expensive share classes of various mutual funds when cheaper shares of the same funds were available, costing investors more than $1.1...

Irma wreaks havoc on mutual funds even before it reaches Florida

September 8, 2017

Stephen Barnes has suffered damage from Hurricane Irma even before it hits Florida. He owns Stone Ridge Reinsurance Risk Premium Interval Fund, a mutual fund that dropped 11 percent this week as the hurricane wreaked havoc in the Caribbean....

Thrivent Financial quietly expands beyond Christians

August 23, 2017

Thrivent Financial doesn't do anything necessarily fast, so it might have been easy to miss the evolution over the past several years of the world's largest fraternal organization, which has a history dating back 115 years. But the Appleton,...

401(k) advisers value active management in some categories, despite indexing craze

August 21, 2017

Index funds are continuing their push into 401(k) plan menus, but some retirement plan advisers and analysts still see areas where active management makes sense. The number of 401(k) plans offering index funds to employees swelled to 89.4% of...

The best and worst liquid alternative funds over the past 10 years

August 16, 2017

The financial crisis spawned a rebirth of alternative-strategy mutual funds designed to help investors through the next downturn. The strategies don’t promise to keep pace with the stock market, but here are the five-best and five-worst performers...

Eduardo Repetto to leave Dimensional Fund Advisors

August 15, 2017

Eduardo Repetto, co-CEO and co-CIO of Dimensional Fund Advisors, will leave DFA in September, the company said Tuesday. Gerald O'Reilly, currently co-CIO, will become co-CEO with David Butler. David Booth, the company's founder, will continue...

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...

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...

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,...

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