Advisor News

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REGULATION AND LEGISLATION FEB 11, 2015
Accused alts manager Daniel Thibeault says SEC claims 'unsupported' by 'scant facts'

Fund manager is fighting back against request to freeze his assets, says claims are 'unsupported' and regulator is 'overly aggressive.'

By Mason Braswell
Financial adviser moves set to pick up in 2015
PRACTICE MANAGEMENT FEB 11, 2015
Financial adviser moves set to pick up in 2015

An analysis of <i>InvestmentNews'</i> Adviser on the Moves database points to an active year starting from the first quarter

By Matt Sirinides
RETIREMENT PLANNING FEB 11, 2015
Beware financial planners who deliver less than advertised

A third of investors in one study weren't given the help they sought, and less than 10% got advice on taxes, estate planning, education planning, debt management or personal budgeting.

By Mark Schoeff Jr.
This ain't no Fantasyland: Tales from T3
FINTECH FEB 11, 2015
This ain't no Fantasyland: Tales from T3

Amid red-eyed financial geeks, our intrepid reporter spots a theme: The robo-adviser threat.

By Joyce Hanson
FINTECH FEB 10, 2015
Envestnet

By InvestmentNews
FINTECH FEB 10, 2015
Orion Advisor Solutions

By InvestmentNews
WIREHOUSES FEB 10, 2015
UBS' U.S. brokerage business not for sale: Sergio Ermotti

Sergio Ermotti, chief executive of UBS Group AG, took time Monday to deny renewed speculation that the firm's Wealth Management Americas group might be for sale.

By Mason Braswell
In a twist, ex-Cabot Lodge compliance officer recants, says he was wrong
INDEPENDENT BROKER DEALERS FEB 10, 2015
In a twist, ex-Cabot Lodge compliance officer recants, says he was wrong

Akerman apologizes to SEC for whistleblower allegations against the broker-dealer and CEO Frydman.

By Bruce Kelly
Cabot Lodge dispute heats up with whistleblower claim
ALTERNATIVES FEB 10, 2015
Cabot Lodge dispute heats up with whistleblower claim

Former compliance officer alleges fraud at nontraded REIT helmed by Jacob Frydman.

By Bruce Kelly
Merrill Lynch strikes back with $1.2 billion hire
PRACTICE MANAGEMENT FEB 10, 2015
Merrill Lynch strikes back with $1.2 billion hire

After a couple big recruiting losses, Merrill picks up a $1.2 billion team of Morgan Stanley private bank advisers.

By Mason Braswell
DOL fiduciary rule stalls again as brokerage industry makes last-minute push against it
RETIREMENT PLANNING FEB 10, 2015
DOL fiduciary rule stalls again as brokerage industry makes last-minute push against it

The Labor Department's proposal to impose a fiduciary standard on retirement advisers has stalled as the brokerage industry makes one more, eleventh-hour bid to change it.

By Mark Schoeff Jr.
Two SEC officials blast agency's Oppenheimer Holdings decision
PRACTICE MANAGEMENT FEB 10, 2015
Two SEC officials blast agency's Oppenheimer Holdings decision

SEC officials Luis Aguilar and Kara Stein (pictured) say the regulator turned a 'blind eye' to Oppenheimer's pattern of misconduct in giving the firm a penalty waiver for penny stock improprieties.

By Bloomberg
Hedge fund managers testing the social media waters
ALTERNATIVES FEB 10, 2015
Hedge fund managers testing the social media waters

Lifted advertising ban and pressure from liquid alts drive secretive managers into the open.

By Jeff Benjamin
ALTERNATIVES FEB 10, 2015
UBS renews push to increase advisers' hedge fund use

The wirehouse plans tools to explain the risks and benefits of hedge fund strategies to advisers whose allocations have been low.

By Trevor Hunnicutt
FINTECH FEB 09, 2015
Look beyond adviser-focused technology to improve productivity

A whole world of options lie outside industry-specific apps, including these three tools.

By Alessandra Malito
FINTECH FEB 09, 2015
Orion hot and heavy for UMAs

Orion Advisor Services, looking forward to an infusion of capital <a href=&quot;http://www.investmentnews.com/article/20150209/FREE/150209932/ta-associates-acquires-orion-advisor-services-in-northstar-deal&quot; target=&quot;_blank&quot;> from its impending acquisition by TA Associates</a>, has set its sight on unified managed accounts.

By Alessandra Malito
No charitable IRA rollover, no problem. Consider the charitable alt-IRA
RETIREMENT PLANNING FEB 09, 2015
No charitable IRA rollover, no problem. Consider the charitable alt-IRA

What if you could do something similar to a charitable IRA rollover now, with more clients qualifying, fewer downsides and numerous advantages?

By Andrew Hibel
Fidelity combines clearing and custody units, creates tech division
RIA NEWS FEB 09, 2015
Fidelity combines clearing and custody units, creates tech division

Former custody chief Durbin to run new Fidelity Wealth Technologies unit.

By Alessandra Malito
Betterment raises $60 million in new venture capital
FINTECH FEB 09, 2015
Betterment raises $60 million in new venture capital

PE firm increases investment in robo-adviser to nearly $105 million.

By Alessandra Malito
CLS Investments, Riskalyze launch robo exclusively for advisers
FINTECH FEB 09, 2015
CLS Investments, Riskalyze launch robo exclusively for advisers

Latest entrant seeks to combine investment, risk technology and human advice, but it's not free.

By Alessandra Malito