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Small-cap value funds see stunning rally

January 28, 2019

Whatever investors were spooked by at the end of 2018, they seem to have shrugged it off so far this year. Last year, the small-cap value funds category, as tracked by Morningstar, lost 15.5%, making it the worst-performing domestic equity fund...

How much you should have saved for retirement at every age

January 25, 2019

We know most Americans are woefully behind when it comes to saving for retirement, but according the latest data from Fidelity Investments, it’s never too late to start saving. And it might help to realize that with just a little extra effort,...

Advisers see more clients seeking second opinions

January 23, 2019

In the latest sign that financial planning is gaining professional status, clients are increasingly seeking second opinions. Some advisers attribute the trend to clients' growing awareness of fiduciary duty, while others say it comes with market...

Raymond James buys Silver Lane Advisors, an investment bank for RIA mergers

January 23, 2019

Raymond James Financial's plan to acquire Silver Lane Advisors is a recognition of the growing merger and acquistion opportunities in the wealth management business. Silver Lane, founded in 2007, is a boutique investment bank specializing in...

XY Planning Networks leads charge to help furloughed workers during shutdown

January 18, 2019

As the partial government shutdown entered a record 28th day Friday, some corners of the financial services industry have started stepping forward to help the 800,000 furloughed government workers. Sixty members of the XY Planning Network have...

Morningstar says investors rushed the exits in 2018

January 17, 2019

Investors ran for cover in 2018, according to the latest data from Morningstar showing last year's level of net inflows into U.S. mutual funds. Net inflows into ETFs were the lowest since 2008. In a year that saw the S&P 500 Index finish down...

Widow awarded $4.2 million by Finra panel for theft by ex-Royal Alliance broker

January 16, 2019

A widow with a brain injury has been awarded $4.2 million by a Finra arbitration panel that found that a former broker for Royal Alliance Associates stole money from her. The ex-broker, Gary Basralian, 71, admitted in August as part of plea...

10 biggest breakaways of Q4

January 15, 2019

There were 147 breakaway broker moves in the fourth quarter of 2018, which marked a 35% spike above the historical breakaway average, according to Echelon Partners. Following are 10 moves that helped tip the scales, listed under the name of...

6 biggest RIA acquisitions of 2018

January 15, 2019

Even in a record year for consolidation in the RIA space, some deals stand out from the crowd. Following are the six largest acquisitions of the year, based on assets under management, according to the latest research from TD Ameritrade Institutional...

RIA M&A sets another record in 2018

January 14, 2019

The financial market volatility that picked up in earnest last year was not enough to derail the pace of consolidation among registered investment advisers. Echelon Partners reported Monday that merger and acquisition activity in the RIA space...

Garrett Planning Network expanding to India

January 14, 2019

The Garrett Planning Network, which promotes making financial planning available to the masses by charging hourly fees, is slated to launch a version of the network in India early this year. While fee-based advice is just catching on in the...

6 tech companies heading for IPOs this year

January 11, 2019

The initial public offering market is often seen an indicator of investor appetite for the equity markets. With that in mind, Bloomberg’s Eric Newcomer identified six Silicon Valley technology companies that could make an IPO splash in 2019.

Vanguard gives day traders the stiff-arm by dropping inverse, leveraged strategy funds

January 9, 2019

The Vanguard Group, underscoring its dedication to buy-and-hold investing, is taking another step to give day traders the boot from its brokerage platform. The $5 trillion asset management complex announced Tuesday that it is removing access...

Sheryl Garrett steps down as head of Garrett Investment Advisors

January 9, 2019

Sheryl Garrett, founder of the Garrett Planning Network and long-time industry advocate for hourly-fee financial planning, is stepping away from her role as head of Garrett Investment Advisors, an RIA she co-founded in 2011. Ms. Garrett, 56,...

Bob Oros takes over as HighTower CEO

January 7, 2019

HighTower Advisors confirmed on Monday that industry veteran Bob Oros has taken over as CEO of the Chicago-based RIA consolidator. The news, which was originally reported in November, puts Mr. Oros at the head of a $60 billion wealth management...

Twists and turns await anxious advisers as roller-coaster ride continues into 2019

January 5, 2019

The roller-coaster ride of 2018 has financial advisers bracing for uncertainty in the year ahead. Whether talking about the economy, the financial markets, Fed policy or asset allocation, the financial advisory space appears to be hunkering...

10 worst-performing ETFs last year

January 4, 2019

Under the heading of “things could be worse,” here are 10 exchange-traded funds that gave investors a scary ride last year. Most are considered trading vehicles and employ such strategies as double or triple leverage or the use of short...

Cleaning up tainted broker records becomes a cottage industry for one law firm

January 3, 2019

Critics may take Dochtor Kennedy to task for helping brokers clean up their disciplinary records, but no one can argue with his success. The 39-year-old president and founder of AdvisorLaw, which specializes in removing customer complaints from...

Market downturn puts spotlight on active management

January 2, 2019

The momentum toward passively managed index investing is expected to lose some steam as the volatility in the financial markets shines fresh light on the benefits of active management. It is as cyclical as the markets themselves, and a lot of...

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