InvestmentNews

InvestmentNews The Leading Information Source for Financial Advisers. Founded in 1998, we educate and inform with accurate and unbiased reporting. Owned and operated by London-based Bonhill Group plc. Privacy policy: http://bit.ly/2XXMzDw
InvestmentNews is the leading source for news, analysis and information essential to the financial advisory community. Since 1998, our standard of editorial excellence and deep industry knowledge has allowed us to educate, inform and engage the most influential financial advisers. Through our weekly newspaper, website, newsletters, research, events, social media, videos and webcasts, InvestmentNews provides exclusive and up-to-the-minute news, as well as actionable intelligence, that empowers financial advisers to serve their clients and run their businesses more effectively. InvestmentNews is owned and operated by London-based Bonhill Group plc.

InvestmentNews is committed to delivering timely and accurate content that informs and engages financial advisers. Our content is delivered through a number of different offerings that reflect the varying and evolving needs of our audience. Through our weekly newspaper, website, e-newsletters, webcasts, data products, research and events, InvestmentNews provides exclusive and up-to-the-minute industry news, as well as actionable intelligence that allows financial advisers to run their businesses more effectively. In addition to news, InvestmentNews organizes a number of webcasts and conferences throughout the year, bringing together our readers with key industry experts. Topics are industry-specific, developed specifically for financial advisers, and designed to help guide them with the best way to grow their practices. Our events are highly interactive and serve as great networking opportunities. The InvestmentNews main office is located in New York, with bureaus in Boston, Irvine, Chicago, San Francisco and Washington, DC.

Mission: To educate and inform current and future members of the financial advisory industry with accurate and unbiased reporting.

Christine Shaw has been named chief executive of InvestmentNews, the leading source of news, analysis and information fo...
07/18/2019
New CEO of InvestmentNews announced

Christine Shaw has been named chief executive of InvestmentNews, the leading source of news, analysis and information for the financial advisory community. She succeeds Suzanne Siracuse, who announced her resignation earlier this week.

Ms. Shaw joins InvestmentNews from Future Plc, where she was managing director and senior vice president of global events and #B2B. Prior to that she was a senior vice president at PennWell Corp.

Christine Shaw has extensive experience in B2B media.

As the Securities and Exchange Commission conducts investigations for the second round of its crackdown on inadequate mu...
07/17/2019
Critics concerned with pending second wave of SEC share-class crackdown

As the Securities and Exchange Commission conducts investigations for the second round of its crackdown on inadequate mutual fund payment disclosures, critics are asserting the agency is engaging in rulemaking by enforcement.

Former SEC commissioner says agency is engaging in rulemaking by enforcement.

There are several reasons for this trend, according to experts.
07/17/2019
Small 401(k) plans lag on important metrics

There are several reasons for this trend, according to experts.

Participation and auto-enrollment are much lower among small retirement plans than larger ones, Vanguard survey finds.

The Financial Industry Regulatory Authority Inc. alleged the firms failed to give sales charge waivers to nearly 110,000...
07/17/2019
Finra reaches settlements with 56 firms for overcharging customers on mutual funds

The Financial Industry Regulatory Authority Inc. alleged the firms failed to give sales charge waivers to nearly 110,000 charitable and retirement accounts when they sold Class A shares that offered the price breaks.

Regulator emphasizes 43 of the firms avoided fines for extraordinary cooperation on probes involving failure to give sales charge waivers to charitable and retirement accounts.

"Over the years, I've fallen in love with the financial advice profession and the many people, firms and services that w...
07/16/2019
InvestmentNews CEO and publisher Suzanne Siracuse resigns

"Over the years, I've fallen in love with the financial advice profession and the many people, firms and services that we cover and serve," she said. "I plan to explore what my next step will be in the coming months within the industry and want to do that free of obligations."

Move comes one year after London-based Bonhill Group acquired InvestmentNews from Crain

Nicholas Schorsch, the former nontraded real estate investment trust czar who in his heyday raised billions of dollars a...
07/16/2019
Schorsch, AR Capital to pay $60 million to settle SEC charges

Nicholas Schorsch, the former nontraded real estate investment trust czar who in his heyday raised billions of dollars annually from retail investors, and his firm AR Capital agreed to pay $60 million in penalties to settle Securities and Exchange Commission charges that he, the firm and a partner wrongfully obtained millions of dollars in connection with REIT mergers that were managed by AR Capital.

The former REIT czar and his firm wrongfully obtained millions linked to REIT mergers.

Ritholtz Wealth Management is relaunching its digital advice product, Liftoff, using Betterment for Advisors. For Better...
07/15/2019
Ritholtz Wealth launches Betterment-powered robo advice platform

Ritholtz Wealth Management is relaunching its digital advice product, Liftoff, using Betterment for Advisors. For Betterment, which typically keeps details about its for-advisers product close to the vest, it's a big get — if not in terms of assets, then certainly in terms of media exposure. Ritholtz Wealth employs some of the most recognizable names in financial advice, including CEO Josh Brown and CIO Barry Ritholtz.

Ritholtz digital platform getting a second liftoff with Betterment for Advisors.

David Lerner Associates Inc., once known for its radio ads selling municipal bonds, reported in a recent regulatory fili...
07/11/2019
David Lerner Associates' financial condition deteriorates

David Lerner Associates Inc., once known for its radio ads selling municipal bonds, reported in a recent regulatory filing that its financial condition had deteriorated in 2018.

Firm reported 'negative net worth' of $17 million last year in recent SEC filing.

Submit your nomination for the 2019 Women to Watch today. We are looking for female financial advisers and industry exec...
07/10/2019
InvestmentNews - Women To Watch 2019 nominations

Submit your nomination for the 2019 Women to Watch today. We are looking for female financial advisers and industry executives who exemplify the definition of true leaders and role models. HURRY! Nominations close August 2.

The annual InvestmentNews Women to Watch list honors female financial advisers and industry executives who exemplify the definition of true leaders and role models. They must be distinguished leaders at their firms and have advanced the business of providing advice through their leadership, passion,...

Securities and Exchange Commission Chairman Jay Clayton took on critics of the agency's recently approved investment adv...
07/09/2019
SEC head defends Reg BI, but only succeeds in igniting more criticism

Securities and Exchange Commission Chairman Jay Clayton took on critics of the agency's recently approved investment advice reform package in a lengthy defense Monday, but his remarks didn't calm the fierce debate.

A top critic charges the SEC head with 'gamesmanship' and creating a 'false narrative.'

While certain firms are looking to educate clients on college expenses to avoid student debt, other advisers see an oppo...
07/09/2019
What advisers need to know about working with student loan debt

While certain firms are looking to educate clients on college expenses to avoid student debt, other advisers see an opportunity to help clients manage and repay loans.

Experts in giving advice to those saddled with student debt recommend this approach.

Individuals who pay for financial advice generally are feeling positive about their ability to prepare for their post-wo...
07/09/2019
Client longevity is advisers' top retirement planning concern

Individuals who pay for financial advice generally are feeling positive about their ability to prepare for their post-working days.

But clients may be underestimating the possibility of longer lifespans when they're planning for retirement.

The Securities and Exchange Commission on Friday barred a former Transamerica Financial Advisors Inc. broker who was cha...
07/09/2019
SEC bars ex-Transamerica broker who took $583,000 from clients

The Securities and Exchange Commission on Friday barred a former Transamerica Financial Advisors Inc. broker who was charged last summer by the U.S. Attorney's office with securities and bank fraud in taking $583,000 from his clients.

The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.

The pace of consolidation in the registered investment advisory space hit a record in the second quarter and puts the in...
07/09/2019
RIA acquisitions on record pace, despite sometimes volatile markets

The pace of consolidation in the registered investment advisory space hit a record in the second quarter and puts the industry on pace for its seventh-straight recording-setting year, according to consulting firm Echelon Partners.

Echelon Partners is predicting M&A activity in RIA space will be up 11% in 2019.

It's been a good year so far for active management, with 49% of large-cap equity funds beating the S&P 500's 18.5% gain ...
07/03/2019
10 best-performing funds of 2019, so far

It's been a good year so far for active management, with 49% of large-cap equity funds beating the S&P 500's 18.5% gain this year through June.

Here are the equity mutual funds and ETFs that raced past the competition in the first half.

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