Results for "alternative investments"

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Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money

July 19, 2019

Senate Republicans are asking the Securities and Exchange Commission to expand the ability of small businesses to raise capital from ordinary investors by involving investment advisers. In a letter to SEC chairman Jay Clayton on Thursday, Republican...

Surging demand turns solar panels into the hottest summer investment

July 10, 2019

Investments in solar energy have been shining brightly this year, and it's not just the summer heat wave that's pushing these stocks and funds to double- and triple-digit gains. The 56.6% surge from the start of the year in the $390 million...

Embracing the highs and lows of cannabis investing

July 9, 2019

When it comes to investing risks and opportunities, there is currently nothing quite like cannabis. While its recreational use is still illegal at the federal level, the momentum behind a push to regulate marijuana alongside alcohol is unmistakable....

SEC commissioner Jackson seeks data on potential harm of easing rules for private placements

July 1, 2019

SEC commissioner Robert Jackson Jr. voted in favor of publishing for comment a 211-page document on easing rules surrounding investments in unregistered securities. But he has qualms about allowing ordinary investors to participate in private...

SEC bars head of terminated RIA, orders $1.3 million in payments

July 1, 2019

The Securities and Exchange Commission has censured Foxboro, Mass.-based Fieldstone Financial Management Group and charged the firm and its principal, Kristofor R. Behn, with defrauding clients by failing to disclose conflicts of interest. The...

Funds confront liquidity worries

June 27, 2019

The first blow-up shook an investment fund in Switzerland. The second and third rocked funds in the U.K. Now, with warnings growing louder about the risks money managers have taken with hard-to-trade investments, Wall Street is starting to wonder:...

Broker-dealer pays $9.5 million to settle alternative investment claims by Native American tribe

June 26, 2019

Purshe Kaplan Sterling Investments will have to pay $9.5 million related to the sale of alternative investments to a Native American tribe in Michigan, according to a recent filing with the Securities and Exchange Commission. The independent...

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...

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...

GPB paid B-Ds and reps steep commissions to sell troubled private placements

June 24, 2019

Broker-dealers and their reps who sold private placements for GPB Capital were paid tens of millions of dollars in commissions, but now must face clients whose investments have dropped in value dramatically. According to a GPB document sent...

GPB Capital reports decline in value of two biggest funds

June 21, 2019

In a blow to investors, GPB Capital on Friday reported significant losses in the value of its investment funds, which are in the form of private partnerships that invest primarily in auto dealerships and waste management businesses. The two...

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...

SEC exploring how to give more investors access to private placements

June 18, 2019

The Securities and Exchange Commission is looking for ways to allow more investors to buy unregistered securities and enable emerging companies more easily to raise capital. The agency issued a concept release Tuesday that examines ways to "simplify,...

Fidelity's National Financial raises more questions about GPB private placements

June 17, 2019

National Financial Services, the clearing and custody unit of Fidelity Investments, is telling broker-dealer clients they have 90 days to move private placements issued by beleaguered GPB Capital off its platform or work with the custodian as...

Wealthy families are adding forests to their portfolios

June 17, 2019

Tom Crowder spent much of his two-year career in the NFL running away from men who weighed upwards of 300 pounds. These days? He worries about bears and snakes. As a senior vice president at Bank of America Corp., Mr. Crowder spends most days...

The new paradigm of portfolio construction

June 13, 2019

Current thinking about the best way to construct investment portfolios stems from seminal events in 1952, 1993 and 1605. Yes, 1605. That was the year when perhaps the cornerstone of portfolio construction — the value of diversification —...

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...

FS Investments and KKR merging more BDCs

June 4, 2019

FS Investments and KKR Credit Advisors are once again working on merging various business development companies, this time combining four nontraded BDCs into one publicly traded one. Plans call for the merged BDC, with $9 billion worth of assets,...

Movie director's family office looks at investments through an ESG lens

June 3, 2019

James Cameron has thrived on disaster and dystopia over his 40-year career. But when it comes to personal investing, the Hollywood director is betting on a better future. Mr. Cameron, whose films have grossed about $6 billion worldwide, and...

Investors start to sue broker-dealers that sold GPB private placements

May 7, 2019

Individuals are starting to file arbitration claims against broker-dealers that sold private placements packaged by GPB Capital, which raised $1.5 billion from investors and is under investigation by state and federal authorities. GPB is facing...

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