Advisor News

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Quality, cash keep this tech fund on solid ground
EQUITIES SEP 07, 2011
Quality, cash keep this tech fund on solid ground

Even in the rocky world of technology investing, the debt ceiling debate has been an eye-opening experience.

By Jeff Benjamin
REGULATION AND LEGISLATION SEP 07, 2011
Buzz: NAIFA backs Finra for adviser SRO

Lobbying in favor of a self-regulatory organization for investment advisers has gained momentum, with a major insurance organization calling on Congress to authorize Finra the to do the job.

By Doug Cubberley
NAIFA backs Finra for adviser SRO
REGULATION AND LEGISLATION SEP 07, 2011
NAIFA backs Finra for adviser SRO

Lobbying in favor of a self-regulatory organization for investment advisers has gained momentum, with a major insurance organization calling on Congress to authorize Finra the to do the job.

By Mark Schoeff Jr.
Obama aims to roll back roll-back of Dodd-Frank
REGULATION AND LEGISLATION SEP 07, 2011
Obama aims to roll back roll-back of Dodd-Frank

President defends 'important changes,' nominates first head of consumer protection bureau; Republicans seek guarantees

By John Goff
Pimco's Gross: Obama's $300B doesn't cut it
RIA NEWS SEP 06, 2011
Pimco's Gross: Obama's $300B doesn't cut it

Bill Gross, founder of Pacific Investment Management Co., said President Barack Obama's plan to stimulate the economy with more than $300 billion in tax cuts and spending is inadequate.

By Doug Cubberley
Pimco to gain more 'autonomy' in AGI restructuring
RETIREMENT PLANNING SEP 06, 2011
Pimco to gain more 'autonomy' in AGI restructuring

Allianz Global Investors on Tuesday announced restructuring effective Jan. 1 that will give PIMCO greater distribution independence and will more closely align the elements of Allianz's other business.

By Drew Carter
WIREHOUSES SEP 06, 2011
BofA's woes making life difficult for Merrill advisers

Warren E. Buffett's $5 billion vote of confidence in Bank of America Corp. last Thursday notwithstanding, Merrill Lynch advisers have been forced to reassure clients over the past few weeks that their parent company is not headed for insolvency.

By Andrew Osterland
Ten-year Treasuries overvalued — and then some — but investors buying anyway
RETIREMENT PLANNING SEP 06, 2011
Ten-year Treasuries overvalued — and then some — but investors buying anyway

Term premium at an all-time high, but investor confidence in economy at rock bottom; 'fear priced into yields'

By John Goff
RETIREMENT PLANNING SEP 04, 2011
The importance of 'stopping and smelling the roses'

For adviser Brian Fenn, the horrific events of 9/11 provided affirmation that he was on the right track with his planning practice

By Dan Jamieson
RETIREMENT PLANNING SEP 04, 2011
Even after a relocation to Midtown, the memory of a tragedy persists

Despite the passage of 10 years and a move to another part of New York, the Sept. 11, 2001, terrorist attacks are never far from financial adviser Lewis J. Altfest's mind

By Lavonne Kuykendall
RIA NEWS SEP 04, 2011
Learning to 'plan for the worst' and 'hope for the best'

Ten years hasn't diminished the vivid memories of 9/11 for Paul Schatz, president of Heritage Capital LLC, a $110 million advisory firm based in Woodbridge, Conn.

By Jeff Benjamin
INDEPENDENT BROKER DEALERS SEP 04, 2011
When the unthinkable became the thinkable

When Roger Monteforte saw the flaming wreckage of the first plane in the side of the World Trade Center's North Tower 10 years ago, he knew instantly that initial news reports of a small plane hitting the tower were wrong

By Bruce Kelly
RETIREMENT PLANNING SEP 02, 2011
Family offices see relative surge in assets

Family offices saw a relatively large surge in assets in 2010. And that figure will likely be getting bigger with billionaire George Soros getting out of the hedge fund business to manage his family's money | <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20110809&amp;Category=FREE&amp;ArtNo=809009999&amp;Ref=PH>Top 10 family offices

By John Goff
Nontraded REITs a hot property — but Finra warns investors
ALTERNATIVES SEP 01, 2011
Nontraded REITs a hot property — but Finra warns investors

Regulator cites lack of liquidity and high fees; product sales remain brisk

By Bloomberg
Tough Finra proposal aims to bring nontraded-REIT pricing up to par
ALTERNATIVES SEP 01, 2011
Tough Finra proposal aims to bring nontraded-REIT pricing up to par

Regulator wants commissions subtracted right away from value shown on statements; 'pendulum has swung too far'

By Bruce Kelly
RIA NEWS SEP 01, 2011
MDE platform that tamps down volatility now available to RIAs

Risk 3.0 Asset Management holds out the promise of predictable returns with limited volatility

By Jeff Benjamin
Finra wants faster valuations of nontraded REITs
ALTERNATIVES SEP 01, 2011
Finra wants faster valuations of nontraded REITs

Regulator prepares proposal after May complaint against David Lerner Associates; time it takes to get market valuations not up to par

By Bruce Kelly
INDEPENDENT BROKER DEALERS SEP 01, 2011
Workman Securities to shutter, 100 reps told to make a move

Another troubled broker-dealer is closing, but with a twist: The firm is telling its advisers to move en masse to another firm.

By Bruce Kelly
Commonwealth, LPL could see fallout from Reg D deal they sold
ALTERNATIVES SEP 01, 2011
Commonwealth, LPL could see fallout from Reg D deal they sold

After avoiding the pitfalls of disastrous Regulation D deals during the past decade, Commonwealth Financial Network and LPL Financial LLC are contending with potential fallout from a real estate private placement that faces pressure from its creditors.

By Bruce Kelly
Plans to tax munis won't fly, says BNY Mellon
RIA NEWS SEP 01, 2011
Plans to tax munis won't fly, says BNY Mellon

Despite need to raise federal tax revenues, bank believes lawmakers will spare municipal debt

By John Goff