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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...

Vanguard shutters $1 billion mutual fund

January 3, 2019

The ongoing evaluation and cleanup of the fund lineup at The Vanguard Group is eliminating another large mutual fund from its big mutual fund complex. The $5 trillion asset manager announced Thursday that it will liquidate the Vanguard Convertible...

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...

Bob Doll's 2019 predictions

January 2, 2019

Nuveen’s chief equity strategist admits to having “many questions” heading into the new year, but he feels “fairly certain that the U.S. will not fall into a recession in 2019.”

Focus Financial engineers two year-end acquisitions by its subsidiaries

December 31, 2018

Focus Financial Partners is closing the year with a bang, announcing two acquisitions by its subsidiaries Monday that are expected to close in the first quarter of 2019. The Colony Group, a $6.3 billion firm based in Boston that has been a unit...

Finra makes it harder for brokers to expunge tainted records

December 24, 2018

The Financial Industry Regulatory Authority Inc. has taken another step toward making it more difficult for brokers to have customer complaints expunged from their public records. The Finra Board of Governors announced Dec. 21 the approval of...

Financial advisers put market volatility in perspective for clients

December 19, 2018

No, Virginia, there is no Santa Claus rally this year, and that has advisers scrambling to calm clients as the financial markets head toward the worst December in 50 years. With the U.S. stock market having dropped into correction territory,...

10 most popular stories of 2018

December 19, 2018

Whether reflective of the aging baby boom generation or of the growing appetite for retirement income, the theme is clear. InvestmentNews readers wanted, and received, ample news about insurance, annuities, Social Security, and when not to retire.

ETrade launches national adviser referral network

December 18, 2018

ETrade Financial Corp. has launched a national adviser referral network to enhance its financial adviser custodial business. The ETrade Advisor Network, which was cited as a driving force behind the custodial relationship ETrade announced last...

10 biggest RIA acquisitions of 2018

December 18, 2018

As 2018 wraps up, it looks like another year of record-level consolidation in the financial advisory space. Following are the 10 biggest deals of the year, according to Devoe & Co.

Vanguard combines two strong funds creating a $25 billion large-cap growth portfolio

December 17, 2018

The Vanguard Group, citing efficiencies and lower fees, is combing two big actively managed large-cap growth funds to create one really big fund. By the end of March, investors in the $15.1 billion Vanguard Morgan Growth Fund (VMRAX) will be...

Finra fines Merrill $300,000 for failing to supervise rogue broker

December 14, 2018

Finra has fined Merrill Lynch $300,000 for failing to supervise the actions of rogue broker Eva Weinberg, who was employed by the wirehouse for one year in 2010. The fine is part of the lingering ripple effect of a series of court battles that...

Ric Edelman is bullish on bitcoin, calls much of the advice industry ignorant of its potential

December 12, 2018

Ric Edelman believes in the future of cryptocurrencies so much, he is selling his personal investment in Bitwise Investment Management, a creator of cryptocurrency index funds, so as not to have a conflict of interest should he recommend the...

Mercer Advisors notches fifth RIA acquisition in four weeks

December 11, 2018

The shopping spree continues for Mercer Advisors with the acquisition of Bell Wealth Management, an Austin, Texas-based firm with $200 million under management. This marks the fifth announced acquisition in less than four weeks for Mercer, a...

Finra panel awards adviser $1.2 million from defunct broker-dealer

December 10, 2018

A Finra arbitration panel has ruled in favor of adviser Brian Taylor Kirkpatrick in a share-ownership dispute with his former employer Capital Guardian, a now defunct broker-dealer. According to the dispute resolution from the Financial Industry...

Midwestern magic? RIA assets soared nearly 30% there last year

December 8, 2018

It might be too soon to say that the big coastal cities are losing their mojo, but from a financial planning perspective the latest momentum favors some of the sleepier areas of the Midwest. An InvestmentNews analysis of SEC-registered RIAs...

For Los Angeles-based RIA Aspiriant, growth is crucial yet deliberate

December 8, 2018

Aspiriant is a $12.2 billion advisory firm fueled by grand aspirations of a national network and brand. Rob Francais, CEO of the Los Angeles-based RIA, wants to take independent financial planning down the same path followed by national accounting...

For Silvercrest Asset Management Group, client referrals were gold

December 8, 2018

Silvercrest Asset Management Group is a multi-family-office advisory firm that credits client referrals for much of its growth to $21.3 billion. Founded in 2002, the New York-based advisory firm has clients in 47 states. Richard Hough III, who...

This Miami-based firm has a $50 million minimum

December 8, 2018

It is interesting and rare that half of the $7.3 billion under management at WE Family Offices is from non-U.S. clients. But what's even more interesting is that when the firm launched five years ago, there were no U.S. clients. "Our domestic...

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