Results for "Jeff Benjamin"

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Give us a break, active managers say

June 22, 2019

Ten years into a historic bull market run that has proved an ideal environment for passive, index-based investing, active managers are champing at the bit for a break in the cycle that would let them strut their stuff. "We need a bust," said...

Fed signal sends advisers into fixed-income scramble

June 21, 2019

The Federal Reserve Board's signal earlier this week that it is preparing for its first interest-rate cut in 10 years sent a chill through some corners of the financial planning industry, as rate cuts typically indicate rough times ahead. "We...

Weatherbie team turns Alger fund into a top performer

June 20, 2019

In the two years since Weatherbie Capital took over management of the Alger SMid Cap Focus Fund (ASMZX), the $570 million fund has pushed its way to top of the mid-cap growth category. Key changes under the management team of Joshua Bennett,...

SEC advice reform: What's in the final Reg BI, Form CRS and agency interpretations

June 20, 2019

The Securities and Exchange Commission's long-awaited investment advice reforms, which were approved June 5 in a 3-1 vote, will make the most significant changes to advice standards in more than two decades. After receiving more than 6,000 comment...

DoubleLine CEO Gundlach sees golden opportunity to hedge market risk

June 19, 2019

As fears of an economic slowdown and a recession continue to climb, including new signs that the Federal Reserve​ is​ on track to cut interest rates later this year, financial advisers are revisiting the pros and cons of turning to gold...

Tapping into the anomaly of low-volatility investing

June 18, 2019

Regardless of what's going on in the markets or the economy, financial advisers know that most clients like their portfolio volatility in small portions, if at all. Even though the practical meaning of volatility includes both up and down moves,...

Finra bars former Cetera broker

June 17, 2019

The Financial Industry Regulatory Authority Inc. has barred former Cetera Financial Group adviser George Merhoff after he failed to continue cooperating with an investigation into his alleged securities industry violations. Mr. Merhoff spent...

RIA takes a bigger piece of the pro athlete market

June 17, 2019

MAI Capital Management, a $6 billion Cleveland-based RIA, has expanded into its sixth market with the acquisition of MTX Wealth Management, a $400 million advisory firm in the Washington area. The firms share a specialty — working with current...

You don't need to know sign language to work with deaf clients, but it helps

June 14, 2019

James Rooney hadn't planned on carving out a niche working with deaf clients. But nearly 30 years after his first encounter with a deaf client, he has become Morgan Stanley's go-to adviser for this unique community of clients. "If a deaf client...

Dynasty offers forgivable notes to advisers going independent through firm

June 10, 2019

Dynasty Financial Partners has created a borrowing program that allows advisers going independent to pay off a forgivable loan with a portion of their new firm's revenue. Called the Dynasty Freedom Note, the program allows qualified advisers...

RIA with $15 billion in AUM appoints first female president

June 10, 2019

Wendy Hartman has become the latest example of women making inroads into the C-suites of the financial services industry with her promotion to president of Buckingham Strategic Wealth, an RIA with $15 billion in assets. Ms. Hartman, 44, stepped...

Fidelity custody business hooks up with lender to finance RIAs

June 10, 2019

Fidelity Clearing & Custody Solutions has entered into a "strategic alliance" with Merchant Investment Management designed to give its adviser clients preferential access to business loans for acquisitions or financing succession plans, the...

As market indicators go, the president trumps everything

June 6, 2019

Whether you like him or not, President Donald J. Trump is having a measurable impact on the financial markets, although maybe not in the ways he expects or would prefer. "Trump has a particular talent for causing wedges, driving markets and...

RIA makes fiduciary duty its calling card

June 6, 2019

When the founders of AGW Capital Advisors launching a financial advisory firm in April 2009, in the wake of the financial crisis and at the stock market's low point, they decided to embrace the elephant in the room. "When people lose money,...

SEC reforms impose new requirements on brokers and advisers, but some argue not enough

June 5, 2019

The Securities and Exchange Commission's long-awaited investment advice reforms, which were approved Wednesday in a 3-1 vote, are virtually unchanged from an original proposal. The reforms set new standards for brokers and slightly change rules...

Retirement plan provider sticks with embattled celeb Tony Robbins

May 31, 2019

Self-help guru Tony Robbins, whose business relationship with $38 billion RIA Creative Planning ended last week following a wave of sexual misconduct allegations, is maintaining his affiliation with $1 billion retirement plan provider America's...

Jeopardy champion James Holzhauer squares off against aspiring financial planner. Guess what happened?

May 30, 2019

As Jeopardy contestant James Holzhauer closes in on becoming the winningest contestant in the TV show's 35-year history, one aspiring financial planner offers an inside perspective on squaring off against the best player many fans of the show...

Tony Robbins split was in the works for months, RIA now says

May 30, 2019

A week after it was reported that Creative Planning had severed ties with self-help guru Tony Robbins in the wake of a string of sexual misconduct allegations against him, the RIA is now claiming it was in the works for months before those charges...

Overlooked fund category is dominating 2019

May 29, 2019

The stock market's volatility over the past several months has generally favored actively managed investment strategies, in a switch from passive strategies' generally stronger performance in recent years. But the biggest surprise so far this...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

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