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Sweeping Ed Butowsky lawsuit takes on 'left-wing media bias'

March 14, 2019

Plano, Texas-based financial adviser Ed Butowsky has filed a sweeping lawsuit against 22 defendants, including lawyers and members of the media, claiming defamation and malicious prosecution related to lawsuits that have been filed against him....

Morgan Stanley threatens to pull out of Nevada over state's fiduciary rule

March 13, 2019

Morgan Stanley has threatened to cease offering brokerage services in Nevada as a result of the state's proposed fiduciary rule. In a recent comment letter about the advice rule, the wirehouse said that parts of it were "far too narrow" for...

Forget zero fees. This ETF is offering to pay investors

March 12, 2019

Free is no longer cheap enough in the ultra-competitive market for exchange-traded funds. Salt Financial, which currently runs one $10 million ETF, plans to woo buyers with a fund that will temporarily pay them to invest, according to regulatory...

Ed Butowsky, Schwab head to arbitration over $100 million defamation claim

March 8, 2019

A $100 million defamation lawsuit that financial adviser Ed Butowsky filed against Charles Schwab & Co. is headed to arbitration. Mr. Butowsky, managing partner of Chapwood Capital Investment Management, alleged that Schwab defamed him and his...

Interactive list of 2019 Lipper fund award winners

March 7, 2019

The 2019 Refinitiv Lipper Fund Awards winners have been announced. Lipper measures the winners by their risk-adjusted returns over multiple periods. Award winners are rewarded for consistency over time, including the top 3-year, 5-year and 10-year...

Vanguard share of target-date fund market becoming 'obscene'

March 4, 2019

Vanguard Group extended its dominance over the target-date fund market last year as the flow of retirement assets into index funds continued unabated, with employers seeking to reduce the cost of their 401(k) plans. Vanguard swelled its target-date...

Custodians no longer at the center of RIA technology hubs

March 1, 2019

The relationship between custodians, registered investment advisers and technology vendors is evolving. RIAs today are demanding deeper and more robust data on clients so they can provide new services like financial planning, but these advisers...

Fintech competitors seek opportunity in Envestnet Tamarac acquisition of Schwab PortfolioCenter

February 27, 2019

News of Charles Schwab selling PortfolioCenter to Envestnet Tamarac has been like blood in the water for competing technology vendors hoping to lure away the 3,000 advisers still using the aging portfolio accounting technology. In the days following...

Two IBDs look at technology differently

February 26, 2019

The catchphrase "We can no longer just be a [whatever] company, we have to be a technology company," is so much of a cliché, it sounds like a punch line from HBO's "Silicon Valley." It's in the same vein as "We're making the world a better...

Social Finance plans no-fee ETFs

February 25, 2019

The first free exchange-traded fund is on its way. Social Finance Inc., the online lender known as SoFi, is helping start two new ETFs that won't charge a management fee, according to regulatory filings. The funds, which plan to waive charges...

Again, SIFMA spent most money in financial services industry lobbying lawmakers

February 21, 2019

SIFMA, the trade association representing major brokerage firms, spent more money lobbying lawmakers last year than Goldman Sachs, Fidelity Investments, Vanguard Group and other top financial services firms. The Securities Industry and Financial...

The race to zero fees may be reaching its natural limits

February 21, 2019

I am unimpressed with "free." So too, it seems, is much of Wall Street. It was less than a year ago when large financial firms started offering mutual funds, exchange-traded funds and other products without charging management or trading fees....

Fidelity profit hits record even as assets fall

February 21, 2019

Fidelity Investments posted record revenue and operating income in 2018 even as assets under management fell for the first time in seven years. The mutual fund giant reported outflows from its actively managed stock funds — once its most well-known...

Charles Schwab selling PortfolioCenter to Envestnet Tamarac

February 21, 2019

Charles Schwab is selling PortfolioCenter, a portfolio management and reporting engine used by 3,000 registered investment advisory firms, to Envestnet Tamarac. Envestnet announced the acquisition Thursday afternoon when reporting its fourth...

Veteran adviser locks down a succession plan that lets him stay involved

February 15, 2019

It took a while before it became a top priority, but Leon LaBrecque can finally rest easy knowing that at 63, his business succession plan is in place. After about eight years of weighing his options, and 18 months of grinding out the details,...

Rolling out robo-advisers has been challenging for early adopters

February 15, 2019

For early adopters of automated portfolio management tools, folding the robo technology into their practices often didn't go as planned. Many advisers said the early days of the robo-advisers for advisers were marred with frequent technical...

Wealthfront introduces high-yield cash savings accounts

February 14, 2019

Wealthfront is the latest digital investing startup to set its sights on customers' uninvested cash, showing the company's ambitions to automate more than just investment accounts. The robo-adviser announced Wealthfront Cash Account on Thursday,...

Q4 revenue strong at IBDs, online brokers despite market declines

February 13, 2019

Independent broker-dealers and retail brokerages were able to generate good revenue during the final quarter of 2018 despite the significant drops in the market, according to Moody's Investors Service. The market turbulence in December played...

Charles Schwab gets most 401(k) claims dismissed

February 13, 2019

A federal judge dismissed most of the claims filed against Charles Schwab Corp. in a lawsuit alleging the firm profited from its 401(k) plan at the expense of employees, but did allow one allegation to move forward. The class-action lawsuit,...

Schwab, Fidelity expand commission-free ETF trading

February 12, 2019

Brokerage platform giants Charles Schwab Corp. and Fidelity Investments issued near-simultaneous announcements Tuesday morning that they are each expanding to more than 500 the number of commission-free ETFs on their respective platforms. The...

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