John Jacobs, executive vice president of global information services at Nasdaq and pioneer of the QQQ ETF, reflects on the growth of the ETF industry and shares his predictions on upcoming trends.
RCS Capital said it was contacted by FINRA and the SEC after accounting errors were disclosed at American Realty Capital Properties.
Changes in the industry confront asset managers on several fronts. Michael Rawson, an analyst covering passive strategies on Morningstar's manager research team, shares his expectations on the outcomes these industry shifts will bring.
Aequitas Capital is hoping to woo advisors with an unusual but potentially potent pitch: its expertise in alternative investments.
Before advisors recommend the increasingly popular hedged investment strategy, they better know the basics.
The profitability of alts for investment managers and product originators promises that the deluge of alternative investment opportunities will continue.
Some research shows that alternatives have as much chance of hurting performance as helping. With so many new products available, how can advisors ensure that they're picking the right ones?
Alternative investments have been growing rapidly in popularity in recent years as new funds have been mushrooming and money has been flowing in. Andy Saperstein, Morgan Stanleys head of investment products and services, explains the wirehouses history of working with alts and Morgans current approach to leveraging them in client portfolios.
Schorsch makes big changes to the firm's executive team with a new CEO as well as the hiring of longtime LPL exec Bill Dwyer.
Alternative mutual funds are in the midst of a growth period with asset managers aggressively marketing the investment products to advisors. Here is a look at the top 10 alternative mutual fund launches in 2014 based on net assets, according to Morningstar.
High-net-worth women are savvier about alternative investment choices than their male counterparts, says a study by New York Life MainStay Investments.
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.