Investments

As CAIS launched a new advisory firm to simplify alternative investments for financial advisors and their clients, experts at the firm's summit discussed how to get clients more comfortable with the asset class.

Financial advisors weigh in on how they assist clients with this issue, especially if they have large holdings in their employer's stock.

When a seasoned investor, ex-health plan CEO and lifelong baseball fan counsels executives on business success, he draws on past and present baseball greats for inspiration.

ESG has become more material to over two-thirds of asset owners' investment processes in the previous five years, Morningstar says.

Criticism of ESG investing has cut across the political spectrum, with accusations ranging from "woke capitalism" on one end, to "greenwashing" on the other.

The new offering, rolled out to 600 advisors this month, will let clients pay $3,600 a year for services that extend beyond asset management to include tax and trust planning.

The advisor at the center of the case, Chuck Roberts, has been the subject of at least 19 customer complaints since late 2022.

The case is one of the latest to question if firms can be held liable for costly investment decisions made by clients showing signs of mental decline.

Since being first given the green light by regulators two years ago, there are now dozens of these new vehicles available on the market. But experts warn they carry inherent risks for investors.

Planners Carolyn McClanahan and Dana Anspach discuss how the client expenses work for their advisory practices as more firms rethink their approach.

Advisors suggested emphasizing that investment management and financial planning work hand in hand.

Leaders at FINRA, Fidelity and ACA Foreside discussed the steps they take to safely market new investment products like ETFs and cryptocurrencies on social media and other platforms while staying in compliance with advertising regulations.

A recent UBS Investor Watch report highlights a deeply divided country in which many view the economy as the main issue this election season.

Assets held by exchange-traded funds in the U.S. hit $10 trillion for the first time as the investor-friendly products continue their Wall Street takeover.

A new ETF is attempting to carve out a slice of the $6.3 trillion in traditional money-market funds.

The Goldman Sachs 2024 Retirement Survey & Insights Report found that while competing priorities affected workers' ability to save, having a plan in place helped clarify goals and the grit required to meet them.

The latest lawsuit accuses the firm of not only failing to look out for clients' best interests but also failing to secure "reasonable returns" on money held in retirement accounts.

Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that has long been in regulators' crosshairs.

Here are some of the key takeaways from a sampling of the many substantive discussions at Huntington Beach last week.