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SEC charges Commonwealth Financial with conflicts of interest in revenue-sharing agreement

August 1, 2019

Commonwealth Financial Network has been charged by the SEC with failing to disclose material conflicts of interest related to revenue sharing. The Securities and Exchange Commission complaint said that since at least 2007 Commonwealth had a...

Dawn Bennett sentenced to 20 years in federal prison

July 31, 2019

Former financial adviser Dawn Bennett was sentenced on Wednesday to 20 years in federal prison for her conviction on 17 federal charges related to a $20 million Ponzi scheme. Ms. Bennett, 56, who formerly operated Bennett Financial Group Services...

Flood of RIA sales pushes industry toward a buyer's market

July 31, 2019

The record-setting pace of consolidation among advisory firms is only going to become more competitive, said David DeVoe, managing director at the investment bank DeVoe & Co. The first-half data released Wednesday by DeVoe & Co. show 65 acquisitions...

Lightyear sells Wealth Enhancement Group to TA Associates

July 31, 2019

Minneapolis-based Wealth Enhancement Group has extended its relationship with private-equity investors through a deal that will transfer a majority ownership stake in the $11.8 billion advisory firm to TA Associates. The deal, announced Wednesday,...

Capital One data hack puts financial advisers on high alert

July 30, 2019

The data breach at Capital One Financial involving more than 100 million people in the United States and Canada has given financial advisers a new reason to remind their clients about the need to take identity protection measures seriously....

Morgan Stanley arms reps with ESG analysis tool

July 29, 2019

Morgan Stanley Wealth Management on Monday armed its more than 15,600 reps with a tool to help investors align their portfolios with their socially and environmentally conscious beliefs. The Morgan Stanley Impact Quotient, colloquiallydubbed...

Advisers view diversity efforts as a complex, heavy lift

July 26, 2019

Discussions about the financial services industry's reputation for being mostly white and mostly male will usually trigger a raft of enthusiastic perspectives, but what most people agree on is that progress is slow and real diversity is still...

Advisory firm founder carries half his clients' fees into retirement

July 25, 2019

When it comes to succession planning, Jim Mohr is banking heavily on the abilities of the next generation of advisers at the San Diego-based advisory firm he founded 35 years ago. Mr. Mohr, 59, is not yet officially retired from Mohr Financial...

Low-cost gold ETFs introduce new fiduciary challenge

July 23, 2019

As threats of a global trade war and bond yields' move into negative territory spark renewed interest in gold as a portfolio ballast, financial advisers are faced with new choices among a growing list of gold-related exchange-traded funds that...

Bob Doll's midyear report card shows he got 60% right

July 22, 2019

The midyear report card from Nuveen chief equity strategist Bob Doll shows he's mostly on track with his 10 predictions for 2019, although he admits it’s too early to score some areas of the markets and global economy.

AssetMark IPO seen as boon for financial services

July 18, 2019

The initial public stock offering by AssetMark Financial Holdings (AMK) is being described by market watchers as well-executed success that will pave the way for other financial service industry companies to access the public equity markets....

Advisers shrug off Schwab's potential purchase of USAA brokerage

July 17, 2019

Charles Schwab Corp.'s rumored plan to acquire $100 billion worth of brokerage assets from USAA is perceived by market watchers as a prudent asset-gathering move, despite past missteps by the San Francisco-based brokerage giant. "Schwab will...

National Holdings facing lawsuit for allegedly retaliating against whistleblower

July 16, 2019

A fired chief compliance officer is suing National Holdings Corp., claiming her 16-year career with the brokerage firm was terminated when she started investigating alleged insider trading by executives of the firm. A lawsuit filed last week...

Advisers scramble to help retirees navigate looming Fed rate cut

July 15, 2019

For the first time in more than a decade, financial advisers are having to prepare client portfolios for an interest rate cut by the Federal Reserve, and the general consensus of advice is to try and not panic. "Stay away from bank-loan bonds...

ESG funds hitting their stride with record-level inflows

July 12, 2019

Sustainable investing strategies have suddenly become the magic bullet for mutual funds and exchange-traded funds. The latest data from Morningstar Inc. show funds that focus on environmental, social and governance issues attracted $8.9 billion...

Surging demand turns solar panels into the hottest summer investment

July 10, 2019

Investments in solar energy have been shining brightly this year, and it's not just the summer heat wave that's pushing these stocks and funds to double- and triple-digit gains. The 56.6% surge from the start of the year in the $390 million...

World bond index adds climate-risk screen

July 9, 2019

For the first time ever, the sovereign debt issued by the world's developed nations is being indexed according to each country's climate-risk factors. The FTSE Climate Risk-Adjusted World Government Bond Index is the latest example of the expanding...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

Morningstar emphasizes fees, performance in upgrade of fund ratings

July 8, 2019

In the latest iteration of its forward-looking analysts' ratings,​ Morningstar Inc. is placing more emphasis on fees and raising the bar for actively managed funds, which will be required to beat both their benchmark and their peer group to...

RIA acquisitions on record pace, despite sometimes volatile markets

July 8, 2019

The pace of consolidation in the registered investment advisory space hit a record in the second quarter and puts the industry on pace for its seventh-straight recording-setting year, according to consulting firm Echelon Partners. The 52 RIA...

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