The Assets: Investment strategies
February 24, 2021
FAs Weigh In: Hopeful About Opportunities for Growth, Outperformance
Whenever people are worried, there's opportunity for an advisor, says one financial advisor.
February 19, 2021
BofA, Wells, UBS Resist Offering Semitransparent ETFs to Wealth Clients
Bank executives say the funds, which combine features of mutual funds and traditional exchange-traded funds, need more scrutiny.
February 17, 2021
FAs Weigh In: Emotional Responses to Markets Amid Pandemic Off the Charts
Fusion Family Wealth’s CEO says investors’ pandemic-related fears have driven emotional responses to financial markets to levels he had not seen in his three decades in the advisory industry.
February 17, 2021
Betterment Expands Customization Options on Model Portfolios for FAs
The new offering expands on the company’s previous model portfolios by allowing most exchange-traded funds rather than only those that are part of Betterment Core Portfolio Strategy.
February 16, 2021
More 'Forward-Looking' FAs Charging Separate Financial Planning Fees
Advisors with the skill set to do true holistic financial planning can easily generate revenue that could replace lost AUM due to fee compression, says Commonwealth Financial Network's Justin Duft.
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February 8, 2021
Wells Names Head of Managed Solutions, Investment Implementation
Patricia Loepker was previously head of advisory, institutional and high-net-worth consulting for Wells Fargo Advisors.
February 5, 2021
Mass. Securities Cop Fines RBC $200K Over Alleged Supervisory Failures
RBC Capital Markets allegedly failed to supervise one of its former agents who overconcentrated 10 elderly investors in energy securities.
February 4, 2021
Vanguard to Launch Fractional Share Trading in Dollar Terms
A job posting for an equity and exchange-traded fund trading manager says the position requires the launch and oversight of fractional trading, according to FA-IQ sister publication Ignites.
February 2, 2021
Robinhood Strikes Back at Mass. Securities Cop Over ‘Gamification’ Charges
Lawyers for the firm say Massachusetts Secretary of the Commonwealth William Galvin created a false impression of any underhandedness and had no authority to adopt the state’s fiduciary rule last year.
February 1, 2021
All Roads Lead to GameStop — What You Need to Know, So Far
The saga has also attracted attention of the SEC and lawmakers as well as a probe by the New York Attorney General.