Investment funds

Concerns include preparing for SEC reporting rules and modernizing operational infrastructure to address evolving markets.

Both already use the fintech company’s technology to market their products to advisors.

Sentieo is a financial research platform that allows analysts to do financial research, annotate documents and collaborate with colleagues all within the same software.

The good times in munis aren’t likely to last as the Fed’s push to boost interest rates will hamper future results, an expert says.

When leaving heirlooms and other illiquid assets to loved ones, seniors should allow the heirs to inherit the items instead of liquidating them

The new factor-based products will extend the manager’s focus on data-driven investing.

A multi-year reorganization of the firm has lowered head count by more than a quarter but boosted productivity by nearly a half.

High-fee managed futures, energy limited partnerships and multi-alternatives products topped this list.

There are at least 200 fewer products available since 2015. Some advisors haven’t noticed. But should they?

Advisors are planning to increase ETFs as a primary option, the firm finds. Plus, “the most exciting numbers in the survey.”

The independent broker-dealers born during this fraught year have thrived. Now, however, their role in creating today’s independent advisor threatens their ability to survive another half-century.

The deluge into the retail-friendly vehicles comes as the S&P posted declines in 19 of 24 days since peaking in September

Factors including low interest rates may have contributed to success.

ESG ETFs currently hold a combined $6 billion in assets. The firm expects that will grow to $500 billion in the next decade.

Clients nearing retirement should consider standard and itemized deductions and choose the option that will generate the bigger savings.

CEO Manny Roman expects the move will help the firm cash in when the next economic downturn comes.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

Those with outflows cost clients more than twice as much.

The new platform will support bitcoin and Ether early next year and offer over-the-counter trade execution and order routing.

Nuveen has pared allocations to non-U.S. developed market equities, while JPMorgan is dialing back global stocks positions in favor of U.S. shares.