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10 best-performing funds of 2019, so far

July 1, 2019

It's been a good year so far for active management, with 49% of large-cap equity funds beating the S&P 500's 18.5% gain this year through June. Click through to see the top-performing funds in the first half of this year from among all the equity...

As AssetMark files for IPO, experts value TAMP at more than $1.2 billion

June 26, 2019

AssetMark could be the next financial services firm to jump into the public equity markets, according to its filing with the Securities and Exchange Commission earlier this week. The Concord, Calif.-based turnkey asset management platform, which...

American Century taps DFA vets for new factor-based business

June 26, 2019

If there was any doubt about American Century Investments' commitment to its expansion into the exchange-traded funds space, the $168 billion asset manager has put those doubts to rest with the launch of Avantis Investors. The new Los Angeles...

Advisers step up efforts to help clients manage student loan debt

June 25, 2019

While many of the Democrats running for president are proposing new ways to shift the cost of college onto taxpayers, some financial advisers are focused on helping their clients to better understand and manage the financial burdens of higher...

Should financial advisers be paying more attention to private equity?

June 24, 2019

Excitement for greater access to private-equity investments was sparked by a Wall Street Journal story Monday that The Vanguard Group may be pondering a move into the space. While the $5.2 trillion Malvern, Pa.-based asset manager told InvestmentNews...

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,...

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...

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...

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...

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...

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...

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,...

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...

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