Results for "investments"
Displaying 9,252 results
Advisers can now create custom model portfolios using Betterment's white-label robo
October 2, 2019
Betterment is giving financial advisers greater control over how client assets are allocated in portfolios managed by the white-label version of its automated investment software. Firms will soon be able to create custom model portfolios on...
HSA fees drop, investment design shows improvement
October 1, 2019
Investment funds in health savings accounts have improved substantially over the past few years on several fronts, including fund options, quality and fees, according to a new report from Morningstar Inc. "You've seen definite improvements,"...
New way to invest in ETFs has backing of BlackRock and others
October 1, 2019
Dan McCabe is on a quest to transform your finances. The chief executive officer of Bedminster, N.J.-based Precidian Investments has a new way to invest that could make thousands of mutual funds obsolete, and he's persuaded the likes of BlackRock...
Passive investing hasn't taken over the world
October 1, 2019
The battle is over: Passive investing is victorious. Active management has been defeated. By now, you surely know that Wall Street quakes at the mere mention of indexers, who devour all in front of them. Active managers, many of whom have since...
Trump officials play down reports of limits on China investments
September 30, 2019
The Trump administration has issued a partial — and qualified — denial of the revelation that it is discussing imposing limits on U.S. investments in Chinese companies and financial markets as China vowed to continue opening its markets...
What 'householding' means for advisers, and why it's the holy grail for technology
September 30, 2019
Spend enough time around technology vendors and industry executives talking about the future of the advice industry and you'll inevitably come across the term "householding." Helping advisers effectively manage all a family's financial accounts,...
Negative yields find their way into U.S. investor portfolios
September 30, 2019
A migration toward a globally diversified bond allocation could be exposing fixed-income investors to the world's unprecedented $15 trillion worth of negative-yielding government debt. Last week, the $23 billion Vanguard Total International...
Income annuities provide retirees longevity protection
September 28, 2019
Though the discussion in this chapter could be applied to any annuity offering lifetime income benefits, the focus for now returns to income annuities to keep the discussion more manageable. Previous chapters have introduced the role annuities...
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,...
Voya Financial Advisors settles with more than a dozen clients of former broker
September 27, 2019
Voya Financial Advisors Inc. is cleaning up the mess a former broker created by investing clients heavily in nontraded real estate investment trusts and variable annuities. The ex-broker, James T. Flynn, was registered with Voya Financial Advisors...
Hunt for tax havens fuels $47 billion stampede into muni debt
September 27, 2019
Municipal bonds have never been at risk of becoming the next big thing for bubble-chasing investors, like crypto currencies or tech IPOs. But 2019 has been marked by an unusually large stampede into the $3.8 trillion market for state and local...
Taxes are one thing – not the 'only' thing
September 27, 2019
Tax Day has come and gone. As advisers to high-net-worth individuals and families, tax planning is a year-round priority. HNW clients have wide-ranging objectives that include everything from transferring large amounts of money to younger generations,...
Invesco seeks SEC approval for ETF designed to thwart copycats
September 26, 2019
Invesco wants to start a new type of exchange-traded fund that conceals its portfolio. The actively managed ETFs would rely on Invesco's own, proprietary design, according to regulatory filings from the $1.2 trillion money manager. Unlike conventional...
Finra bars IFS Securities executive linked to reported $10 million trading loss
September 26, 2019
The IFS Securities Inc. executive at the center of a bond trade that resulted in a reported $10 million loss for the firm has been barred from the securities industry by the Financial Industry Regulatory Authority Inc. Keith Wakefield, the former...
The ETF market just got a shot in the arm from D.C.
September 26, 2019
Wall Street's main watchdog is cutting back regulatory red tape for exchange-traded funds, potentially triggering faster growth for the $4 trillion market. After more than a decade of wrangling, the Securities and Exchange Commission said Thursday...
Fidelity brings ESG portfolios to advisers
September 25, 2019
Fidelity Investments is turning to Ethic, a digital asset manager providing sustainable investing portfolios, to help financial advisers offer environmental, social and governance investing to clients. Ethic will plug into Fidelity's brokerage...
Big capital-gains tax hit on horizon for mutual fund investors
September 25, 2019
Some investors in actively managed mutual funds can expect to incur big capital-gains tax bills this year, as continued outflows and lofty returns combine to stymie those holding funds in taxable accounts. Assets have continued to bleed out...
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...
Three Roth conversion traps that should be avoided
September 24, 2019
Roth conversions can add a lot of value to a retirement income plan. Advisers can control when Roth conversions take place, and therefore can be strategic and do conversions in years when tax rates for a particular client might be lower than...
Massachusetts fines RIA $225,000 over conflicted advice
September 24, 2019
Strategic Planning Group Inc., a Wellesley, Mass.-based registered investment adviser, has been censured and fined $225,000 by state regulators over conflicted investment advice the firm offered its clients. The RIA's principals, David Alexander...
