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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...

$21 billion advisory firm is expanding to Europe

September 3, 2019

Tiedemann Advisors, which oversees about $21 billion in assets, is expanding outside the U.S. for the first time to better serve the cross-border needs of its high-net-worth clients and add customers abroad. The wealth management firm's new...

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...

SEC's proposal on private placements isn't backed by data

August 31, 2019

One of the more curious initiatives of the Securities and Exchange Commission has been its push to expand access to offerings of private, unregistered securities. It seems to be a pet project of SEC Chairman Jay Clayton, who professes to have...

Best returns in August came from ETFs loved by gold bugs

August 30, 2019

Investing in gold and silver miners paid off this month for investors in equity exchange-traded funds. BlackRock Inc.'s iShares MSCI Global Gold Miners ETF, known as RING, has returned almost 14% in August, more than any other unleveraged stock...

Merrill Lynch client sues over 'paltry' cash yields

August 30, 2019

A customer of Merrill Lynch and its parent, Bank of America, has sued the company over what she termed the "paltry" yields in her sweep and checking accounts held at the firm. [More: Merrill Lynch pays $40 million settlement over broker churning,...

Mnuchin eyes 100-year debt Wall Street would just as soon forget

August 29, 2019

The Trump administration is giving careful thought to selling something Wall Street may not be ready to buy: ultra-long debt. Treasury Secretary Steven Mnuchin said that offering bonds with maturities of 50 to 100 years is under "very serious...

Variable, indexed annuities may cost more than you think

August 29, 2019

Variable and indexed annuities are lambasted in some circles as being high-cost insurance products, with all-in annual expenses often exceeding 3%-4%. Yet investors may be paying even more for certain contract features than they think. Many...

There's a wrong way to use target-date funds

August 28, 2019

The benefits of using the increasingly popular target-date funds as turnkey solutions in retirement plans are sometimes diluted by retirement savers who pair the prepackaged products with other funds. "When it comes to target-date funds, it...

UBS shifts to underweight position on equities

August 26, 2019

UBS Global Wealth Management, which oversees more than $2.48 trillion in invested assets, has gone underweight on equities for the first time since the eurozone crisis. [More: UBS hires advisers with $2 billion in client assets The Swiss asset...

Stocks sink as U.S.-China feud deepens

August 23, 2019

U.S. stocks slumped and Treasuries rallied Friday after President Donald J. Trump said he'll respond to new Chinese tariffs and blasted Federal Reserve Chairman Jerome Powell. The dollar fell. The S&P 500 Index dropped as much as 1.7%, led by...

Vanguard social-investing error prompts funds to check controls

August 22, 2019

Managers overseeing trillions in exchange-traded funds have been quietly meeting around Wall Street this week to check the quality controls on their funds, rattled after Vanguard Group Inc. mistakenly added shares of 11 companies, including...

UBS hit with $4.4 million arb award over Puerto Rico bonds and funds

August 22, 2019

A group of investors who bought Puerto Rico bonds and closed-end funds won a $4.4 million arbitration claim against UBS Financial Services Inc. and its related business in Puerto Rico. The three investors and related trusts and businesses initially...

Muni-bond refinancing surges as yields hold near a record low

August 22, 2019

Municipal-bond refinancing is back with a vengeance. Like homeowners racing to lock in lower interest rates, state and local governments in August sold $8.5 billion in bonds to refinance outstanding debt, the fastest pace since October, according...

SEC affirms its authority over proxy advisory firms that CEOs hate

August 21, 2019

The Securities and Exchange Commission took an initial step Wednesday to lay out legal limitations for a powerful industry that's known for questioning companies' decisions on executive pay and business strategy. At a meeting in Washington,...

ESG data getting better as the market matures

August 21, 2019

As management consultant Geoffrey Moore has observed, "Without big data, you are blind and deaf in the middle of a freeway." Historically, that's been the most challenging part of investing using environmental, social and governance factors,...

S&P 500 ETF separates truth from turbulence

August 21, 2019

The next time it seems as if the sky is falling, pull up the trading volume in the SPDR S&P 500 ETF Trust (SPY) for a reality check. Last Wednesday was one of those days. The S&P 500 Index was nearing a 3% drop, and it looked as if maybe this...

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