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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...

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...

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...

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...

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...

SEC busts RIA for padding advisory fees by 40%

May 28, 2019

The Securities and Exchange Commission charged North Carolina-based financial adviser Stephen Brandon Anderson with defrauding clients by padding his asset-based advisory fees by at least $367,000 over a two-year period. The SEC order prohibits...

Factor investing another step in the evolution of the adviser's role

May 25, 2019

The growth of factor-based investing, as explored in last week's cover story by Jeff Benjamin, underscores the evolving nature of portfolio construction. The trend also indicates how the role of a financial adviser is being morphed by an environment...

Tony Robbins loses role with RIA amid charges of sexual misconduct

May 24, 2019

Self-help guru Tony Robbins is quickly becoming persona non grata across the financial planning industry following recently reported accusations by nine women of sexual misconduct over several decades. Overland Park, Kans.- based Creative Planning,...

Trade-war threat presents opportunities for energy investments

May 23, 2019

The looming threat of a global trade war could create a unique speed bump for the rallying master limited partnership fund category, but the next move in navigating the slippery energy sector depends on your outlook for oil prices. Mutual funds...

How one adviser is getting ahead of the hot IPO market

May 22, 2019

The raft of high-profile initial public stock offerings this year has one financial adviser jockeying to get ahead of the trend by launching a fund that invests in companies before they go public. James Gambaccini, managing partner at Acorn...

The growth of factor-based investing

May 18, 2019

The steady migration of investor assets out of actively managed mutual funds and into passively managed exchange-traded funds is fueling the growth of factor-based investing, an old idea that has taken on new appeal for financial advisers and...

Consolidation alters RPA space

May 18, 2019

As consolidation in the retirement plan adviser space continues to heat up, financial advisers who have carved out a niche pairing retirement plan sponsors with plan providers could begin to see radically altered business dynamics. During a...

Grim milestone for active management

May 16, 2019

The month of May is about to usher in a significant milestone for actively managed mutual funds, and not a favorable one. The trends suggest passive U.S. equity fund assets will gain a majority of market share for the first time ever over actively-managed...

Is it time to sell your RIA? One industry expert says yes

May 15, 2019

InvestmentNews senior columnist Jeff Benjamin and multimedia director Matt Ackermann talk consolidation and other adviser trends being discussed at the Excell conference.

Bob Oros of HighTower calls protocol exit 'form over substance'

May 15, 2019

HighTower Advisors put an exclamation point on its move away from recruiting breakaway brokers this week by officially exiting the broker protocol. "It's a little bit of form over substance," said Bob Oros, chief executive of the $50 billion...

New bill links 401(k) matches to student loan payments

May 14, 2019

A bill that includes a provision to make it easier for companies to contribute to the retirement accounts of employees who are paying down student debt was reintroduced in the Senate this week. Among other changes, such as stepping up the age...

Small-cap stocks bear the brunt of trade dispute

May 13, 2019

As the United States and China roll out tariff hikes in an escalating trade war, smaller-company stocks are taking the biggest hit. Contrary to the general belief that smaller companies are more immune to global politics and macroeconomics,...

Benjamin F. Edwards expands its recruiting net with a corporate RIA

May 13, 2019

After a decade of building Benjamin F. Edwards & Co. into a 300-rep independent broker-dealer with $25 billion of assets under management, the firm's focus is now expanding to the independent advisory space. The St. Louis-based broker-dealer...

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