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InvestmentNews News and Opinion

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Many women have had to work extra hard to earn credibility in financial services

Mon, 20 Nov 2017 00:01:00 EST

Supportive mentors can help women get past barriers of working in a male dominated profession.

Women can help themselves and other women in financial advice

Mon, 20 Nov 2017 00:01:00 EST

First off, speak up and take credit for accomplishments.

What really deters women from staying in the financial advice profession

Mon, 20 Nov 2017 00:01:00 EST

First of all, it's not about math! The real issues involve pushing poor products, no workplace flexibility and old-school bureaucracy.

Adviser recruiting may need new tact for women

Mon, 20 Nov 2017 00:01:00 EST

Supplies are running low and outreach needs to grow.

Change is slow when it comes to gender diversity at independent advisory firms

Mon, 20 Nov 2017 00:01:00 EST

Some hopeful signs, but a lack of clear career paths is hurting progress toward adding women.

One place where the women wealth equation doesn't add up

Mon, 20 Nov 2017 00:01:00 EST

More progress and effort needed to boost number of female advisers.

Women don't need to be advisers to succeed in advice industry

Mon, 20 Nov 2017 00:01:00 EST

Many women are making an impact in a variety of roles, ranging from marketing to technology.

Congresswomen put financial advice issues front and center

Mon, 20 Nov 2017 00:01:00 EST

From fiduciary to elder fraud, female senators and representatives are addressing key concerns.

Harvey Weinstein-like behavior won't be tolerated by this adviser group

Mon, 20 Nov 2017 00:01:00 EST

XY Planning Network calls out sexual harassment and issues new code of conduct.

Pershing's Lisa Dolly asks one key question to judge a job candidate

Sat, 18 Nov 2017 06:00:00 EST

CEO recommends women gather as many skills as possible while coming up.

Deena Katz on the key to the profession's future

Sat, 18 Nov 2017 06:00:00 EST

Professor, planner and 2016 Alexandra Armstrong Award winner wants advisers to do these things to motivate more young advisers.

2018 Medicare changes will erase Social Security COLAs for many

Fri, 17 Nov 2017 17:14:58 EST

Some high earners could keep the full value of their COLAs and see no change to their Medicare premiums.

No-SALT diet could be financially unhealthy for some clients

Fri, 17 Nov 2017 14:17:00 EST

Elimination of state and local tax deductions will hurt clients in high-tax states the most

Raymond James executives call on industry to keep broker protocol

Fri, 17 Nov 2017 13:34:00 EST

Also ask firms to pay for the administration of the protocol to 'ensure its longevity and relevance.'

Tax reform: Retirement industry dodges bullet as Senate and House bills advance

Fri, 17 Nov 2017 13:25:00 EST

Concerns over strict limits on pre-tax 401(k) savings and the upending of non-qualified deferred compensation plans are receding.

Finra bars no-show ex-Woodbury rep

Fri, 17 Nov 2017 13:09:00 EST

Regulator wanted to investigate Robert Hoffmann's trading recommendations.

Advisers ignore 'responsible investing' at their own risk

Fri, 17 Nov 2017 12:22:00 EST

Women, millennials and those worth at least $10 million are the biggest fans of SRI or ESG strategies, says Nuveen's Marcus Valesco.

Senate committee approves tax plan but full passage not assured

Fri, 17 Nov 2017 08:56:51 EST

Several Republican senators expressed reservations about the bill, and the GOP cannot afford too many defections.

Morningstar, Orion and many more vendors unleash tech launches at Schwab IMPACT

Thu, 16 Nov 2017 14:39:25 EST

The custodian's annual conference is becoming a prime showcase for new adviser-focused software.

Jeffrey Gundlach attacks break for hedge funds in tax plan

Thu, 16 Nov 2017 16:55:34 EST

DoubleLine Capital executive says he's 'appalled' by the continuation of carried-interest break.

New York financier Lynn Tilton faces new fraud charges over distressed companies

Thu, 16 Nov 2017 16:41:43 EST

The founder of Patriarch Partners is accused of withholding funds after portfolio defaults.

UBS raising client fees, factoring in liabilities

Thu, 16 Nov 2017 15:29:00 EST

Next year, some clients will see higher annual fees unless they have $2 million in assets and liabilities across accounts, or alter their accounts to gain fee waivers.

HSAs next cash cow for 401(k) plan advisers: expert

Thu, 16 Nov 2017 14:33:00 EST

'It is one of the areas that will be the rocket booster in 2018,' suggests consultant Peter Stahl.

Financial Focus takes $446 million in assets from NPC to Securities America

Thu, 16 Nov 2017 14:07:00 EST

Women-owned Carlsbad, Calif.-based firm specializes in serving women.

Finra bars ex-broker for private securities deals

Thu, 16 Nov 2017 13:44:00 EST

Jerry Lou Guttman was with United Planners' Financial Services.

House passes tax bill, focus turns to Senate

Thu, 16 Nov 2017 14:21:54 EST

Tax reform legislation expected to have more of a challenge in upper chamber.

Changes to Senate tax bill affect pass-throughs, Roths

Wed, 15 Nov 2017 14:25:57 EST

Modifications make it easier for some advisers to get a business tax break, repeal the ability to recharacterize Roth accounts, and add uncertainty by making individual cuts temporary and injecting health care into the debate.

Betterment launches 'free' charitable-giving platform

Wed, 15 Nov 2017 09:01:00 EST

Robo-software provider lets investors donate directly from their accounts, and will not charge charities with less than $1 million on the platform.

SEC enforcement of advisers drops in Trump era

Wed, 15 Nov 2017 19:00:00 EST

The agency pursued 82 cases against advisers and firms in fiscal year 2017, down from 98 the previous year.

RIA valuations too specific to base on other sales

Wed, 15 Nov 2017 16:39:12 EST

Selling advice firms to internal successors are toughest types of transactions, experts at Schwab Impact report.

Schwab study: Firms want people skills more than analytical prowess

Wed, 15 Nov 2017 15:28:42 EST

Sales ability and experience remains a high priority for new personnel.

LPL's recruiting of top advisers falls for third straight quarter

Wed, 15 Nov 2017 17:24:32 EST

Decline in the number of new individuals or teams with $100 million or more in assets comes after best recruiting year ever in 2016.

CFP Board makes changes to proposed code of ethics, will seek more comments

Wed, 15 Nov 2017 17:32:00 EST

Board chairman Blaine Aikin says the new code will be released by the end of the year.

Digital disruption coming for asset managers, says Moody's

Wed, 15 Nov 2017 13:00:00 EST

FANG gang may be eying business for its data value, not revenue.

Echelon: RIA MandA slowdown not due to fewer breakaway advisers

Wed, 15 Nov 2017 16:54:36 EST

Consultancy counts 35 deals in the third quarter compared to 47 and 45 in the first two quarters respectively, but sees the latest tally as more in line with long-term trends.

Experts upbeat on stock market, economy in the year ahead

Wed, 15 Nov 2017 11:00:00 EST

Jeffery Kleintop, Liz Ann Sonders and Greg Valliere deliver optimistic forecasts at Schwab adviser conference.

Clients want better investment management, survey finds

Wed, 15 Nov 2017 14:36:00 EST

While generally satisfied, wealthy investors expect better returns and more value.

Fidelity's eMoney Advisor partners with Schwab

Wed, 15 Nov 2017 14:22:16 EST

Tech vendor says, professional rivalry aside, integration with Schwab's OpenView Gateway upholds its commitment to support advisers regardless of where they custody assets.

Schwab execs sound off on Bitcoin, HSAs and Morgan Stanley exit from broker protocol

Wed, 15 Nov 2017 14:07:49 EST

Government likely to rein in popular cryptocurrency, health savings accounts will grow, and wirehouse's decision on recruiting agreement called a mistake.

Consumer Financial Protection Bureau's Cordray to step down

Wed, 15 Nov 2017 13:17:53 EST

His departure gives Trump a chance to remake the agency.

Finra fines Horner Townsend and Kent $275,000 over VA sales

Wed, 15 Nov 2017 13:27:00 EST

Firm also censured for failure to supervise share class recommendations.

American Retirement Association adds Plan Sponsor Council of America

Wed, 15 Nov 2017 13:07:27 EST

Umbrella group now will represent five retirement-related organizations.

PIABA accuses Finra of conflicts of interest

Wed, 15 Nov 2017 11:53:37 EST

Public Investors Arbitration Bar Association report slams self-regulator over its picks for board of governors.

RBC Wealth Management on recruiting roll

Tue, 14 Nov 2017 13:58:00 EST

Firm has seen a net gain of 11 advisory teams and $4.25 billion in client assets in the year through September.

Firms explore ways to bolster the number of female financial advisers

Tue, 14 Nov 2017 18:57:00 EST

Advisory firms describe changes in recruiting, compensation and coaching that can boost support for women.

Mohamed El-Erian in race for Fed Vice Chair: CNBC

Tue, 14 Nov 2017 17:05:53 EST

The chief economic adviser at Allianz would hold the second highest position at the Fed, potentially behind chairman nominee Jerome Powell.

Wells Fargo requires advisers to use level fees for new 401(k) business

Tue, 14 Nov 2017 16:42:59 EST

The move echoes that of other large brokerage houses such as Merrill Lynch, which requires its retirement plan advisers to act as fiduciaries post-DOL rule.

To 'fix' the broker protocol, bring in the SEC

Tue, 14 Nov 2017 15:48:38 EST

After Morgan Stanley's exit, the SEC should revise Regulation S-P and codify the protocol's provisions.

Repealing estate tax could open new path to wealth for clients

Tue, 14 Nov 2017 13:25:00 EST

The solution may be for legislation to preserve the step-up in basis for inherited assets.

Envestnet Tamarac overhauls adviser software

Tue, 14 Nov 2017 07:00:00 EST

Developer says total suite revamp is part of plan to improve client engagement and open architecture features.