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Rich families pour wealth into ESG investments

September 16, 2019

Super-rich families are increasingly including sustainability and ethics in founding principles of their private investment firms, according to Fabrizio Campelli, Deutsche Bank's global head of wealth management. "Family offices are now putting...

Oil prices see big jump after Saudi Arabia strike

September 16, 2019

Oil surged the most on record after a devastating attack on Saudi Arabia heightened concerns about growing instability in the world's most important crude-producing region. In an extraordinary start to the week's trading, Brent futures in London...

Here's to a profession as old as Woodstock

September 14, 2019

With battalions of graying baby boomers marching — or, perhaps, ambling — into retirement, this summer's 50th anniversary of Woodstock was especially significant. For the hundreds of thousands who attended the event in 1969 and the millions...

Millennials finally ready to invest sustainably

September 13, 2019

Wealthy millennials are finally thinking about investing in sustainable companies almost as much as they shop for socially conscious products in stores, according to a survey released Thursday. About 95% of millennials — which the survey classified...

Once again, GPB delays release of audited financial statements

September 12, 2019

GPB Capital has recently been telling the 60 or so broker-dealers that sold $1.8 billion of high-risk private placement to wealthy clients that it would deliver audited financial statements for its funds by the end of September. Now, the beleaguered...

State regulators are skeptical about expanding private offerings to ordinary investors

September 12, 2019

State securities regulators are skeptical of the idea of loosening rules surrounding unregistered securities to allow ordinary investors to buy them. Earlier this year, the Securities and Exchange Commission issued a concept release focused...

How gold could replace bonds as a portfolio diversifier

September 11, 2019

Instead of trying to navigate the freewheeling price of gold over various market cycles, financial advisers might be better served by focusing on the precious metal's lack of correlation with other investments. That's the basic premise of a...

The SEC botched title reform. New York got it right

September 11, 2019

Imagine you want to go skydiving. Jumping from a plane is a high-risk activity. You, as a novice, seek out professional advice to ensure you use the proper technique. After all, how could you possibly know how and when to deploy a parachute,...

Trump ups pressure on Fed, seeking rates of zero 'or less'

September 11, 2019

President Donald J. Trump urged the Federal Reserve to lower interest rates to a level typically reserved for recessions or periods of persistently weak growth, suggesting that such a setting could allow the government to refinance Treasury...

SEC sued by seven states to kill Reg BI investment-advice rule

September 10, 2019

Seven states and the District of Columbia sued the Securities and Exchange Commission and agency Chairman Jay Clayton to overturn an investment-advice rule that is meant to overhaul how brokers work with their clients but that plaintiffs claim...

Orion adds direct indexing capabilities to its Eclipse platform

September 10, 2019

Orion Advisor Services is adding direct indexing capabilities to its Eclipse trading and rebalancing platform.​ The technology vendor introduced direct indexing in 2018 as a stand-alone tool it called Advisor Strategy and Tax Return Optimization,...

Nicholas Schorsch's former flagship REIT settles with investors for $1 billion

September 9, 2019

The company formerly known as American Realty Capital Properties Inc., a real estate investment trust founded by Nicholas Schorsch and rocked by an accounting scandal five years ago, announced a $1 billion settlement Monday. The company, now...

Advisor Group new bonus program falls short for some advisers

September 6, 2019

Some of Advisor Group's more than 7,000 brokers and financial advisers are underwhelmed by the broker-dealer network's offer of various cash awards and bonuses designed to keep them happy and in their seats as the firm adjusts to new ownership....

When strong performance sends ETF investors to the exits

September 6, 2019

In the latest sign of growing investor caution, strong performance is not enough to keep assets from moving out of some focused exchange-traded funds. For example, the $105 million Amplify Traditional Data Sharing ETF (BLOK) is up 21.5% from...

Massachusetts fines broker $225,000 over UIT trades

September 5, 2019

The Massachusetts Securities Division has fined StockCross Financial Services and broker Peter Cunningham $225,000 over trading practices involving unit investment trusts. [More: Galvin to propose fiduciary rule for Massachusetts brokers] According...

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...

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...

VanEck, SolidX offer ETF-like Bitcoin product

September 4, 2019

VanEck Securities Corp. and SolidX Management, a duo that have unsuccessfully petitioned the Securities and Exchange Commission for over a year to approve an exchange-traded fund that invests in Bitcoin, have found a workaround for some large...

Real life investor portrayed in 'The Big Short' sees bubble in passive investing

September 4, 2019

Michael Burry shot to fame and fortune by betting against mortgage securities before the 2008 crisis, a trade immortalized in "The Big Short." [More: 4 adviser takeaways from 'The Big Short'] Now, Mr. Burry sees another contrarian opportunity...

Creating time-tested retirement income plans

September 3, 2019

I usually set aside Labor Day for reflection, not just about the official end of summer, but about broader topics that I encounter as a columnist for InvestmentNews. So I was thrilled when two veteran financial advisers I admire — Phil Lubinski...

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