How to avoid investment bubbles; Real estate's rebound retracts; Warning signs of a 20% tumble in the market
"Smart beta" ETFs are attracting funds from both active managers and passive indexes.
Deutsche Asset & Wealth Management, in partnership with CAIA, will now require its employees in its retail distribution arm to enroll in CAIA's fundamentals of alternative investment certification program.
After making recent waves with retail acquisitions, Nicholas Schorsch's RCS Capital Holdings is adding its first wholesaling broker-dealer to a growing portfolio.
Alternative investments are reaching a much broader swath of investors. As a result, financial advisors are increasingly bombarded with questions from curious clients. Early adopters are in a position to answer these queries, but for the uninitiated advisor -- it's time to get up to speed.
Alternative mutual funds will be examined by the SEC to assess whether managers are complying with leverage and liquidity rules.
Interest in alternatives is rising among investors as they look to manage volatility in their portfolios - and advisor education is critical to meeting that tidal wave of demand.
Of the 296 funds that picked up Lipper U.S. Fund Awards this year, only nine were peer-group winners for all of the eligible time periods. See the list here.
As it turns out, larger and smaller RIA firms face similar compliance challenges.
Using recent research from the North American Securities Administrators Association, Harold Reimer -- head of private wealth management for Temenos in North America -- put together a list of advisory compliance best practices.
FINRA found that LPL didnt have a reasonable system in place to determine whether purchases of alternatives would cause a customers account to be unsuitably concentrated.
IMCA and CAIA are teaming up to fill in a knowledge gap about alternative investments, offering a new online education program that teaches the basics to the uninitiated.
RCS Capital is following through on its promise to launch a research division with the hiring of two non-traded investments analysts.
Vanguard Group, the third- largest U.S. provider of exchange-traded funds, has asked regulators for permission to open actively-managed ETFs.
The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.
Firm's partners say they wanted 'control of our destiny -- we wanted to own our own equity.'
Investors may almost triple the amount of capital they put into hedge funds this year, boosting industry assets to a record, an annual survey by Deutsche Bank showed.
Stephen Mandel of Lone Pine Capital made hedge-fund investors the most money for the second straight year in 2013.
U.S. stocks advanced as investors assessed corporate earnings and data showing factory orders fell less than estimated in December.
Have your clients started talking about adding oils to the portfolio? Here are a few guidelines to remember.
Clients misunderstand a lot of factors regarding the impact of property ownership on their tax obligations. Here's how to make sure they stay one step ahead.
New websites offer a higher yield alternative for the fixed-income segment of a portfolio.
An agency risk alert critiques the due diligence processes that investment advisors are using when recommending such investments as hedge funds, private equity funds, or funds of private funds.
FINRA alleges that the firms' advisors sold two types of highly risky ETFs that even they didn't understand.
The Consumer Financial Protection Bureau could consider expanding exemptions for small lenders from its qualified mortgage rule after it goes into effect on Friday, according to Richard Cordray, the agency's director.
Scandals surrounding the setting of some of the worlds most important financial benchmarks, which influence the prices people pay for everything from oil to mortgages, have shaken confidence in vital markets.
Hedge funds got less bullish on gold for the seventh time in eight weeks as the U.S. economy strengthens and inflation fails to accelerate, driving prices to the biggest annual drop in more than three decades.
U.S. stocks were little changed, after the Standard & Poors 500 Index reached an all-time high last week and headed toward its biggest annual gain since 1997.
Five years after the equity bull market started, U.S. investors returned to stocks in 2013, just in time for the best relative returns versus bonds on record.
The number of mergers and acquisitions of financial advisors is set to increase substantially in 2014 and beyond, according to research released by Tiburon Strategic Advisors.
Networking, marketing and educating female clients were popular topics at the Women Advisors Forum in Newport Beach, Calif., on Nov. 14. Here are some of the things we heard from top female advisors and other professionals during the one-day event
A top performer in the large growth category, Thornburg International Growth Fund is hard to pigeonhole.
Growing firms may need to rethink processes, tools, relationships and staffing strategies.
Vista Wealth Management specializes in working with executives from Silicon Valley, many of whom are young and newly wealthy.
FX Concepts LLC, the currency hedge fund founded by John Taylor in 1981, asked a bankruptcy court for permission to sell its trademark and trading models to Ruby Commodities Inc. for $7.48 million after an auction yesterday.
A select group of financial advisors have already reached more than $50 million in assets under management despite having less than five years of experience. What traits and behaviors help set this group apart?
Laurie Belew, an FPA member since 2004, will be the 2014 FPA president-elect of the association's NexGen community for members age 36 and younger.
Kathleen Gaffney got her own fund, Eaton Vance Bond, at a most challenging time - just as interest rates started to rise.
Here's how one firm used this technique to build a $325 million practice in five years.
Advisor Laura Tarbox doesn't target women, although she finds them anyway. What she does require: A $5 million minimum.
Tax treatment, good or bad, can make or break an investment decision. Are you helping your clients avoid these common blunders?
Managed futures have lost some of their luster, but AQR makes a compelling case for the category.
At Briaud Financial Advisors, the founder said she wanted a succession plan - until her daughter actually made her an offer.
Sovereign wealth funds, which control about $6 trillion of wealth globally, are boosting investments in alternative assets like real estate and private equity to boost returns, a survey by Invesco Ltd. found.
More than one in three investors plan to increase their allocations to defensive assets, such as cash, gold and other precious metals, and real estate in the coming year.
With heavyweights like PIMCO throwing its hat into the managed futures mutual fund ring, interest in this investment vehicle appears to be rising.
Amid ownership shifts, Hennessy Focus is still looking for a few (very few) reasonably priced stocks that it can hold for years.
Use these concepts to frame conversations with your clients.
A passion for indexing has helped Mark Hebner build Index Fund Advisors into a $1.8 billion financial planning firm.
Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs.