Results for "investments"

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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...

Help parents plan early, realistically around their kids' college costs

April 13, 2019

The price of college and the burden of student loan debt is frequently cited as a barrier to young people's efforts to buy a home, marry and start a family. What receives less attention is the impact that paying for college can have on parents,...

Creativity matters when planning for lone retirees

April 12, 2019

When a client is an older woman, who has never married and has no children, or close relationships with other natural heirs to leave her considerable wealth to, extraordinary planning steps and creative thinking are needed. Multiple professionals...

A digital twist on investing in rare collectibles

April 12, 2019

Investors often turn toward luxury collectibles like expensive cars and paintings as alternative investments. But owning physical assets doesn't always make sense, even for the ultra-wealthy. A car-loving billionaire, for instance, may be looking...

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...

Tax Cuts and Jobs Act takeaways

April 12, 2019

The Tax Cuts and Jobs Act was enacted in late 2017 but individuals are now grappling for the first time with many of its temporary provisions as they prepare their 2018 income tax returns. Wealthy donors may be eyeing the chance to pass more...

'Wall Street Tax Act' will land on Main Street investors

April 11, 2019

Last month, Sen. Brian Schatz, D-Hawaii, and Rep. Peter DeFazio, D-Ore., introduced the Wall Street Tax Act in the Senate and the House, respectively. The bill would level a tax of 10 basis points (or 0.1%) on the value of the securities transferred...

You won't believe how some advisers are hedging market risk

April 11, 2019

As stock market volatility starts creeping higher, some financial advisers are reading the signals and adjusting client portfolios to try to hedge the risk of a market pullback like the one investors experienced at the end of last year. "We're...

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