Results for "alternative investments"

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Why one adviser went all-in on ESG when Donald Trump became president

December 6, 2019

Three years ago, when Jeffrey Gitterman transitioned his $120 million advisory firm to be 100% focused on ESG investing, he said the key to getting clients on board was in the explanation. Even though he admits that the Gitterman Wealth Management...

GPB announces another delay in release of audited financials

November 27, 2019

Investors in private funds sold by troubled investment firm GPB Capital Holdings, who have been waiting for audited financial results for more than a year, have been told yet again that the company will not meet its latest deadline of Dec. 31....

Silicon Valley firm helps keep track of $1.7 trillion of assets

November 20, 2019

The ultra-secret world of ultra-wealthy investors is becoming slightly more transparent. Addepar Inc., whose investors include billionaire Peter Thiel and Palantir Technologies co-founder Joe Lonsdale, is working with hundreds of money managers...

Elizabeth Warren's wealth-tax proposal could spur exodus to alternative assets

November 8, 2019

Senator Elizabeth Warren's proposed wealth tax could be a gift to an industry she has accused of looting Americans — private equity. The Democratic presidential hopeful's plan to fund Medicare for All, denounced by prominent rich people like...

Schwab platform gives advisers easier access to alternative investments

October 24, 2019

Schwab Advisor Services has a new platform to provide independent registered investment advisers easier access to alternative investments. The Alternative Investment Marketplace features third-party sponsors offering a menu of private equity,...

Legislation re-introduced in House to expand pool of accredited investors

October 21, 2019

Legislation that would allow more investors to purchase unregistered securities faces some of the same legislative obstacles that stymied last year's measure. Reps. French Hill, R-Ark., and David Schweikert, R-Ariz., introduced the Fair Investment...

Wealthiest families are stockpiling cash

September 24, 2019

Rick Stone, a former partner at Cadwalader Wickersham & Taft, sees treacherous times ahead for family offices trying to deploy cash. The head of Stone Family Office said that he doubts the bond market will provide any real return over the next...

Wife of barred broker helped him produce $6 million in commissions: Finra

November 4, 2019

The Financial Industry Regulatory Authority Inc. has suspended the wife of a broker who was barred from the securities industry 20 years ago, alleging that the wife, along with a second broker who worked as a supervisor, "enabled" the barred...

As Ladenburg Thalmann explores sale, one of its B-Ds is hit with GPB investor complaints

November 8, 2019

Ladenburg Thalmann Financial Services Inc. has been hit with fallout from GPB Capital Holdings. Ladenburg reported Friday morning that since July, one of its broker-dealers has been named in six customer arbitration complaints seeking $1.65...

Experts warn SEC about perils of loosening private offering rules

September 25, 2019

Some experts are warning the Securities and Exchange Commission that loosening the rules on purchases of private investments could hurt the elderly and retirement savers, while alternatives industry organizations are touting their portfolio...

Bitcoin clobbered in market sell-off

August 15, 2019

Bitcoin is quickly losing the refuge designation that some advocates bestowed on it in recent weeks as the largest cryptocurrency joins the global slide in riskier assets. Smaller rivals tumbled even further. After rallying while U.S. equities...

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 —...

The case against gold

September 23, 2019

With the price of gold up nearly 18% since the start of the year, some market watchers are calling it a "crowded trade." That's just one of the reasons some financial advisers give for steering clear of the precious metal at this point in the...

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...

SEC censures, penalizes Utah hybrid $150,000 for improper alts sales

September 4, 2019

The Securities and Exchange Commission has censured Lefavi Wealth Management, a hybrid firm in Salt Lake City, Utah, managing $303 million, and required it to pay a $150,000 penalty for breaching its fiduciary duty and failing to make necessary...

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:...

ARCP class action investors get 50 cents on the dollar: Attorneys

October 7, 2019

The $1 billion settlement last month between investors and the real estate investment trust formerly known as American Realty Capital Properties Inc. included an unusually large recovery for the claimants of close to fifty cents on the dollar,...

Finra censures Newbridge Securities and fines firm $225,000

September 27, 2019

The Financial Industry Regulatory Authority Inc. has censured Newbridge Securities and fined the Boca Raton, Fla.-based firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged,...

IRS sends second round of warnings to crypto investors

August 16, 2019

Some cryptocurrency investors are receiving a new round of letters from the Internal Revenue Service telling them that their federal tax returns don't match the information received from virtual currency exchanges, a new front in the agency's...

Time is running out on opportunity zones — but there's limited choice

September 5, 2019

Time is running out to get the biggest tax break from opportunity zones, but there's one snag for financial advisers: They don't see a lot of compelling investment options for clients. "The deals haven't worked out to be that great," said Leon...

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