Investing

Displaying 16106 results
Robo researcher claims SoFi trades triggered capital gains tax hit
FINTECH APR 25, 2019
Robo researcher claims SoFi trades triggered capital gains tax hit

SoFi reportedly did not provide advanced notice before swapping Vanguard funds for proprietary ETFs.

By Ryan W. Neal
American Funds veteran sees bright future for defensive active management
EQUITIES APR 24, 2019
American Funds veteran sees bright future for defensive active management

Joyce Gordon reflects on how she became a conservative portfolio manager.

By Jeff Benjamin
Insurance lobby plans blitz to get retirement bills through Congress quickly
LIFE INSURANCE AND ANNUITIES APR 24, 2019
Insurance lobby plans blitz to get retirement bills through Congress quickly

Effort off to fast start with bipartisan House support, but skeptics questions annuities provision.

By Mark Schoeff Jr.
Franklin plans to cut up to 5% of workforce
PRACTICE MANAGEMENT APR 23, 2019
Franklin plans to cut up to 5% of workforce

Fund company attempts to cut costs as it faces continued outflows.

By Bloomberg
Centerbridge said to be in talks to buy Advisor Group
ALTERNATIVES APR 23, 2019
Centerbridge said to be in talks to buy Advisor Group

Advisor Group's independent broker-dealer network in the U.S. has more than 7,000 advisers.

By Bloomberg
The drawback of Richard Thaler's 401(k)-Social Security idea? Social Security itself
RETIREMENT PLANNING APR 22, 2019
The drawback of Richard Thaler's 401(k)-Social Security idea? Social Security itself

Observers think Congress would need to address Social Security's funding levels and offer enhanced protections for the concept to work.

By Greg Iacurci
A new way to look at retirement income planning
OPINION APR 22, 2019
A new way to look at retirement income planning

Bucketed investing gives retirees an intuitive understanding of their finances, but administering this approach can be time-consuming for advisers

By Natalie Wolfsen
Smart money is pouring into fixed income
RIA NEWS APR 19, 2019
Smart money is pouring into fixed income

Tighter yield spreads, market risk and the threat of higher taxes are seen driving financial advisers toward bonds.

By Jeff Benjamin
When disclosing conflicts of interest, wiggle words like 'may' may not be good enough
RIA NEWS APR 19, 2019
When disclosing conflicts of interest, wiggle words like 'may' may not be good enough

SEC's case pending in D.C. Circuit Court could change how ADVs are written

By Mark Schoeff Jr.
Variable annuity sales up big among independent broker-dealers
INDEPENDENT BROKER DEALERS APR 19, 2019
Variable annuity sales up big among independent broker-dealers

Interest-rate environment, growth of buffered annuities and loss of the DOL fiduciary rule helped grow sales by $3.7 billion last year.

By Greg Iacurci
SEC cracks down on share-class disclosure after self-reporting initiative ends
MUTUAL FUNDS APR 18, 2019
SEC cracks down on share-class disclosure after self-reporting initiative ends

Firms that didn't participate are now vulnerable to enforcement investigations, lawyers say.

By Mark Schoeff Jr.
Vanguard sees nearly half of all fund inflows in first quarter
MUTUAL FUNDS APR 18, 2019
Vanguard sees nearly half of all fund inflows in first quarter

Pursuit of low-cost, passive strategies sends $62 billion into Vanguard Funds, more than its three biggest competitors combined

By Jeff Benjamin
New ETF offers a way to bet on credit volatility
ETFS APR 17, 2019
New ETF offers a way to bet on credit volatility

The London-listed exchange-traded fund arrives amid calm junk-bond markets

By Bloomberg
Massachusetts charges adviser with concealing information in marijuana deals
ALTERNATIVES APR 17, 2019
Massachusetts charges adviser with concealing information in marijuana deals

Frederick V. McDonald, Jr. allegedly failed to disclose risks and his own conflicts.

By InvestmentNews
BlackRock rebounds as clients move from cash to fixed income
FIXED INCOME APR 16, 2019
BlackRock rebounds as clients move from cash to fixed income

The world's largest asset manager saw $65 billion in net inflows in Q1.

By Bloomberg
Thirst for diversification leads more advisers to interval funds
RIA NEWS APR 16, 2019
Thirst for diversification leads more advisers to interval funds

They're trading liquidity for access to asset classes normally out of reach for retail investors.

By Jeff Benjamin
The cost of putting off enrolling in a Medicare drug plan
RETIREMENT PLANNING APR 15, 2019
The cost of putting off enrolling in a Medicare drug plan

Healthy seniors who sign up late face possible sticker shock.

By Mary Beth Franklin
$4 trillion rally in S&P 500 has buyers flooding world's largest ETF
ETFS APR 15, 2019
$4 trillion rally in S&P 500 has buyers flooding world's largest ETF

The SPDR S&P 500 ETF saw more than $5.6 billion in inflows last week.

By Bloomberg
Sales of unregistered securities are a growing problem that's harming investors — and the industry
ALTERNATIVES APR 13, 2019
Sales of unregistered securities are a growing problem that's harming investors — and the industry

The practice is giving the industry a black eye — so what can financial advisers do to stop it?

By Bruce Kelly
A digital twist on investing in rare collectibles
ALTERNATIVES APR 12, 2019
A digital twist on investing in rare collectibles

Investors can buy shares of automobiles and artwork without actually owning a physical car or painting.

By Ryan W. Neal