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Focus on taxes, compensation turns into tech-industry niche

April 26, 2019

Rebecca Conner has found her niche in the financial planning space. Ms. Conner, founder of SeedSafe Financial in Seattle, is developing a bustling enterprise by blending her accounting background with her proximity to the tech industry and focusing...

American Funds, Empower forge partnership on 401(k) managed accounts

April 26, 2019

Empower Retirement, one of the largest retirement-plan record keepers, and Capital Group, which sponsors the American Funds investment brand, have forged a partnership on 401(k) managed accounts that experts say offers a blueprint for how asset...

Cost of passive ESG investments falling

April 25, 2019

Despite steady growth in assets and net flows into environmental, social and governance investing, many advisers still believe ESG funds underperform traditional products. But objective evidence shows differently, according to Jon Hale, head...

Muni funds land a year's worth of cash in four months

April 25, 2019

It's only four months into 2019, and already mutual funds that invest in state and local-government debt have raked in more cash than they usually do in a year. Investors added $1.1 billion to such funds in the week ended April 17, the fifteenth...

Startup offers financing for employee stock purchase plans

April 25, 2019

Aaron Shapiro's quest to rethink employee stock purchase plans began with a startling insight: If only his mother had participated in one, she'd be a millionaire today. A few years ago, she asked her son for financial advice and mentioned her...

Robo researcher claims SoFi trades triggered capital gains tax hit

April 25, 2019

Customers of Social Finance Inc.'s robo-adviser may incur some unexpected capital gains taxes after the company reallocated managed portfolios using new proprietary exchange-traded funds. SoFi in February announced the coming of two ETFs with...

Former adviser testified he gave college football players money to win business later

April 24, 2019

A former financial adviser helping in a government investigation into corruption in college football, testified in a New York federal court that he directed payments to football players from Alabama, Notre Dame, Michigan, Penn State, Pittsburgh,...

American Funds veteran sees bright future for defensive active management

April 24, 2019

Joyce Gordon was 19 when Capital Group hired her in 1975 to sit outside the trading room and convert ticket orders into numeric code. She worked her way up through the ranks, going to college at night for 11 years to earn her bachelor's and...

Centerbridge said to be in talks to buy Advisor Group

April 23, 2019

Centerbridge Partners is in talks to buy independent broker-dealer Advisor Group Inc. for more than $2 billion, according to people familiar with the matter. The private equity firm could reach a deal as soon as this week to acquire Advisor...

IBD report: Another impressive year

April 20, 2019

Despite a stock market decline, the largest independent broker-dealers turned in another stellar year in 2018, with revenue for the top 25 firms participating in an InvestmentNews survey reaching $25.5 billion, a 14.7% increase over 2017. The...

Finra reminds brokerages of a client's right to a straight answer

April 20, 2019

A regulatory notice issued earlier this month by the Financial Industry Regulatory Authority Inc. told member firms that they must "communicate clearly, and without obfuscation," when the brokerage firms or its managers are asked questions by...

Smart money is pouring into fixed income

April 19, 2019

Even with the roaring start to 2019 that has the S&P 500 Index up nearly 16% through Thursday, an increased appetite for fixed-income strategies suggests the emergence of a more conservative mindset among investors. While the first three months...

Vanguard sees nearly half of all fund inflows in first quarter

April 18, 2019

If there was any doubt about the growing appeal of low fees and indexed investing, investors drove the point home in the first quarter by plowing $62 billion worth of net flows into funds managed by the Vanguard Group. The quarterly total flowing...

InvestmentNews announces 2019 Innovation Awards winners

April 17, 2019

Six firms received InvestmentNews Innovation Awards Wednesday night for their creative and effective approaches to helping advisers run better businesses, improve client outcomes and tackle other planning industry challenges. The winners were...

Massachusetts charges adviser with concealing information in marijuana deals

April 17, 2019

Massachusetts securities regulators have charged a state-licensed investment adviser representative with various forms of misconduct in an investment scheme involving medical marijuana ventures. (More:​ Advisers struggle with the highs and...

Financial advisers at risk if they don't consistently innovate

April 17, 2019

Financial advisers are innovating their practices too slowly and that could have negative implications for their growth prospects, especially in the face of major disruptions like Charles Schwab Corp.'s new subscription pricing, according to...

New ETF offers a way to bet on credit volatility

April 17, 2019

The short-volatility complex is coming to corporate debt ETFs. An exchange-traded fund that will test appetite for credit volatility as a standalone asset class arrived this month, smack in the middle of the calmest junk-bond markets since October....

Thirst for diversification leads more advisers to interval funds

April 16, 2019

With the bull market now a decade old, financial advisers are showing an increased willingness to give up investment liquidity in exchange for strategies that don't move in sync with the broad equity markets. Interval funds, named for their...

BlackRock rebounds as clients move from cash to fixed income

April 16, 2019

BlackRock Inc. rebounded from a rocky end of last year, as customers jumped into its fixed-income products and showed interest in illiquid alternatives. The world's largest asset manager saw $65 billion in net inflows in the first quarter, the...

Sales of unregistered securities are a growing problem that's harming investors — and the industry

April 13, 2019

To an investor, Castleberry Financial Services Group's promise of up to a 12.2% annual yield on the alternative investment fund it was selling might have seemed awfully tempting. So might the assurance that your principal would be insured and...

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