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Bond ETFs nearing record inflows for first half

June 26, 2019

As the risk of an economic slowdown lingers, exchange-traded fund investors are seeking shelter in bond funds. They've poured about $72 billion into fixed-income ETFs this year through Friday, with the funds on track for their biggest first-half...

Fixed-income solutions for breakaways entering the RIA space

June 25, 2019

Wirehouse advisers are often sold the idea that the independent channel cannot support sophisticated investment solutions. So a major concern for breakaway advisers as they make the move to independence is how they will recreate the products...

Advisers who pick stocks are hurting clients — and the value of their firms

June 25, 2019

If you're an adviser and you pick securities for your clients, you're not only wasting time and money, you're probably doing them a grave disservice. I've been a financial planner and adviser for almost three decades, and it never ceases to...

Retail derivatives that pay out in bitcoins approved by CFTC

June 25, 2019

Small U.S. retail investors will soon be able to buy derivatives that pay out with bitcoins. LedgerX, a U.S.-regulated bitcoin derivatives exchange and clearinghouse, won approval from the Commodity Futures Trading Commission to serve as a designated...

Asset managers hit by ever-rising costs as fees drop

June 25, 2019

Asset managers can add rising regulatory and technology costs to their list of woes as they struggle to expand revenue amid pressure to lower fees and expenses. Non-compensation costs, which also include back-office processing and office space,...

GPB paid B-Ds and reps steep commissions to sell troubled private placements

June 24, 2019

Broker-dealers and their reps who sold private placements for GPB Capital were paid tens of millions of dollars in commissions, but now must face clients whose investments have dropped in value dramatically. According to a GPB document sent...

Should financial advisers be paying more attention to private equity?

June 24, 2019

Excitement for greater access to private-equity investments was sparked by a Wall Street Journal story Monday that The Vanguard Group may be pondering a move into the space. While the $5.2 trillion Malvern, Pa.-based asset manager told InvestmentNews...

Give us a break, active managers say

June 22, 2019

Ten years into a historic bull market run that has proved an ideal environment for passive, index-based investing, active managers are champing at the bit for a break in the cycle that would let them strut their stuff. "We need a bust," said...

The future of the business is clear: It's advice, not investing

June 22, 2019

Many investors still think of advisers as the financial services equivalent of used-car salesmen. Even if it's an unfair stereotype — both for advisers and the auto sales industry — changing the perception is critical if the advice industry...

Fed signal sends advisers into fixed-income scramble

June 21, 2019

The Federal Reserve Board's signal earlier this week that it is preparing for its first interest-rate cut in 10 years sent a chill through some corners of the financial planning industry, as rate cuts typically indicate rough times ahead. "We...

GPB Capital reports decline in value of two biggest funds

June 21, 2019

In a blow to investors, GPB Capital on Friday reported significant losses in the value of its investment funds, which are in the form of private partnerships that invest primarily in auto dealerships and waste management businesses. The two...

SEC bars Virginia state investment adviser over Ponzi scheme

June 21, 2019

The Securities and Exchange Commission has barred Edward Moody Jr., an investment adviser registered with the state of Virginia, for operating a Ponzi scheme that defrauded investors. (More:​ Woodbridge Group execs charged with criminal fraud...

A lack of visuals could be your blind spot

June 20, 2019

Most learning and communication happen through visual experiences. The human brain is designed to process visual information quickly, and the saying, "A picture is worth a thousand words," has become iconic partly because there's so much truth...

Galvin plans sweep over pot-related investment fundraising

June 19, 2019

The Massachusetts Securities Division said it will begin a sweep of the growing number of business entities based in the state that are raising money from marijuana-related investments. (More: Advisers struggle with the highs and lows of marijuana...

DoubleLine CEO Gundlach sees golden opportunity to hedge market risk

June 19, 2019

As fears of an economic slowdown and a recession continue to climb, including new signs that the Federal Reserve​ is​ on track to cut interest rates later this year, financial advisers are revisiting the pros and cons of turning to gold...

Everyone knows the wholesaling model is flawed. Here's what to do about it

June 19, 2019

The financial adviser business model has evolved numerous times over the past 40-plus years. In the 1970s and '80s, for instance, mutual fund commissions were as high as 8%. When those rates eventually came down, advisers adjusted. More recently,...

Tax considerations when gifting stock

June 19, 2019

Gifting stock to friends and family members can be tricky — there are several ways investors can get tripped up and make a poor decision from a tax standpoint. Below are some considerations for financial advisers to ensure their clients are...

SEC exploring how to give more investors access to private placements

June 18, 2019

The Securities and Exchange Commission is looking for ways to allow more investors to buy unregistered securities and enable emerging companies more easily to raise capital. The agency issued a concept release Tuesday that examines ways to "simplify,...

New sources for data on model portfolios could help increase adviser adoption

June 18, 2019

As the number of model investment portfolios available to advisers continues growing alongside digital marketplaces for advisers to buy them, some see an opportunity to help advisers evaluate this expanding ecosystem. One company making the...

Fidelity's National Financial raises more questions about GPB private placements

June 17, 2019

National Financial Services, the clearing and custody unit of Fidelity Investments, is telling broker-dealer clients they have 90 days to move private placements issued by beleaguered GPB Capital off its platform or work with the custodian as...

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