Displaying 3721 results
New twist on private equity in RIA space: Silent minority ownership
Upstart Kudu Investment Management acquires piece of a second advisory firm.
Low-cost gold ETFs introduce new fiduciary challenge
The arrival of funds offering cheaper access to gold means advisers must weigh liquidity against cost.
Top 50 equity mutual funds, second quarter 2019
A closer look at the numbers.
Top 50 equity ETFs, second quarter 2019
A closer look at the numbers.
Nick Schorsch returns to public view, this time to settle up with the SEC
After keeping a low profile for past few years, one-time REIT czar re-emerges to face consequences for past wrongdoing.
Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money
GOP lawmakers also ask SEC to increase number of investors who qualify to buy private placements.
Elizabeth Warren declares war on private equity ‘vampires’
The presidential candidate proposes restricting PE firms' ability to pay themselves 'monitoring fees' and dividends, while limiting their ability to use tax breaks for the debt placed on companies they buy
Finra panel awards investors $1.16 million over sales of REITs, other complex products
Berthel Fisher CEO says firm gives clients 'excellent service and good investment advice'
Schorsch, AR Capital to pay $60 million to settle SEC charges
The former REIT czar and his firm wrongfully obtained millions linked to REIT mergers.
Surging demand turns solar panels into the hottest summer investment
Tax incentives fuel sales and drive share prices up by double and triple digits.
David Lerner Associates’ financial condition deteriorates
Firm reported 'negative net worth' of $17 million last year in recent SEC filing.
Embracing the highs and lows of cannabis investing
Momentum is on the side of legalization at the federal level
SEC commissioner Jackson seeks data on potential harm of easing rules for private placements
Proponents, however, say products provide portfolio balance for retirement savers.
SEC bars head of terminated RIA, orders $1.3 million in payments
Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.
Funds confront liquidity worries
Some $30 trillion is tied up in difficult-to-trade investments, the Bank of England's Mark Carney noted earlier this year.
American Century taps DFA vets for new factor-based business
Avantis Investors has an independent look, but has plenty of support from American Century
Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe
The tribe claimed it was unaware of the $11 million in commissions paid to a former Purshe Kaplan Sterling broker.
Retail derivatives that pay out in bitcoin approved by CFTC
LedgerX won approval to offer bitcoin spot and physically settled derivatives contracts to clients of any size.
GPB paid B-Ds and reps steep commissions to sell troubled private placements
GPB paid commissions of 9.3%, or $167 million altogether, on the firm's private placements.
Should financial advisers be paying more attention to private equity?
While Vanguard denies reports it is jumping into the space, there is appeal among some investors for noncorrelated fund options.
