Results for "mutual funds & ETFs"

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LPL cuts ticket charge for some ETFs on key RIA platforms

May 30, 2019

LPL Financial said on Thursday it was making another move to attract assets by cutting transaction charges on exchange-traded funds on two key advisory platforms for advisers from $9.00 to $4.95. The new pricing will go into effect in the second...

Trade-war threat presents opportunities for energy investments

May 23, 2019

The looming threat of a global trade war could create a unique speed bump for the rallying master limited partnership fund category, but the next move in navigating the slippery energy sector depends on your outlook for oil prices. Mutual funds...

Wealthfront has courted controversy with risk-parity fund

May 28, 2019

Wealthfront Inc. is known for doing the most boring type of investing possible — sticking clients' money in mutual funds and ETFs and taking a small fee. But last year, the robo-adviser launched a new product that departed from that model....

The growth of factor-based investing

May 18, 2019

The steady migration of investor assets out of actively managed mutual funds and into passively managed exchange-traded funds is fueling the growth of factor-based investing, an old idea that has taken on new appeal for financial advisers and...

Finra bars former America Northcoast rep over unsuitable ETF trades

May 10, 2019

The Financial Industry Regulatory Authority Inc. has barred Dominic Tropiano, a former broker with American Northcoast Securities in Cleveland, Ohio, for making trades without customer knowledge in nontraditional ETFs that were unsuitable for...

ETF investors see gyrating markets over next six months

May 10, 2019

A majority (61%) of ETF investors expect market volatility to increase over the next six months, and close to half (44%) say they will put more money into exchange-traded funds as a result, according to a survey of 1,500 investors who bought...

Grim milestone for active management

May 16, 2019

The month of May is about to usher in a significant milestone for actively managed mutual funds, and not a favorable one. The trends suggest passive U.S. equity fund assets will gain a majority of market share for the first time ever over actively-managed...

Fate worse than zero hits fund land

May 15, 2019

The trend that's been driving fees in the world of asset management relentlessly lower has finally reached its (il)logical conclusion. The Securities and Exchange Commission has just approved an exchange-traded fund with negative fees. It's...

BlackRock takes lead in battle of lower-fee ETFs, but winning hurts

May 3, 2019

BlackRock Inc., the world's largest issuer of exchange-traded funds, is winning a battle to attract investors with lower fees, even as success takes its toll. The iShares Broad USD High Yield Corporate Bond ETF, ticker USHY, added a record $368...

Galvin charges Janney with churning high-fee mutual funds

May 7, 2019

Massachusetts Secretary of the Commonwealth William Galvin charged brokerage Janney Montgomery Scott with churning high-fee mutual funds, a signal of continued regulatory interest in share-class violations. In a complaint filed Tuesday, Mr....

Federal appeals court rules against advisers on disclosure failure

May 6, 2019

A federal court recently ruled a Texas investment advisory firm failed to disclose conflicts related to the sale of mutual funds, but it also said it didn't do so willfully — vacating the civil penalties and sending the case back to the Securities...

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...

Looking beyond the S&P 500: Time to refresh portfolios, benchmarks

April 3, 2019

An inflection point looms for investors, making it an excellent time for advisers and clients to consider some of the remaining fallout from the decade-long bull market — namely, an overreliance on the S&P 500 Index as both an asset class...

SEC cracks down on share-class disclosure after self-reporting initiative ends

April 18, 2019

The Securities and Exchange Commission's recent settlement of more than $125 million with 79 investment firms that failed to disclose payments they received for recommending certain mutual funds is not the end of the agency's effort on the issue....

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...

The race to zero fees may be reaching its natural limits

February 21, 2019

I am unimpressed with "free." So too, it seems, is much of Wall Street. It was less than a year ago when large financial firms started offering mutual funds, exchange-traded funds and other products without charging management or trading fees....

Betterment adds Dimensional Fund Advisors to its adviser robo

April 11, 2019

Popular fund provider Dimensional Fund Advisors will soon make its mutual funds available on the Betterment for Advisors platform. Betterment CEO Jon Stein said the move is part of a number of enhancements designed to broaden the appeal of its...

The true cost of passive investing

February 11, 2019

It seems as if passive investing — index and exchange-traded funds — has won the performance battle in today's financial markets. Trillions of investment dollars now rest in massive pools, while investors question why they pay active managers...

6 big takeaways from Larry Fink's letter to shareholders

April 12, 2019

Larry Fink, chairman and CEO of BlackRock, published his annual letter to shareholders this week, and InvestmentNews scoured its contents to find the most important nuggets for financial advisers. Here's what the head of the world's largest...

Active managers stumble in March after hot start to 2019

April 3, 2019

For active managers who spent the year's first two months rediscovering their super powers, March was kryptonite. Stock-picking mutual funds have watched it all turn tragic over the last four weeks, with two-thirds trailing benchmarks, upending...

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