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From Ferraris to psychedelics: An alternative investment guide
If volatility has scared you away from stocks, maybe you should think about investing in batteries for electric vehicles, or crypto-tax software startups.
Surging upfront recruiting checks carry significant risks for independent advisers
It's crucial for advisers to kick the tires thoroughly on any potential transition, starting with questions about the firm's capabilities, products, support and financials.
SEC, Finra investigating GPB fund raising: sources
Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.
Kestra Financial latest broker-dealer to be put up for sale
The independent B-D's owner, Stone Point Capital, has tapped Goldman Sachs to lead the deal.
Whiskey insurance is far from old-fashioned — demand is skyrocketing
The rise in prices and attendant need for insurance give a view into the changing landscape of alternative investments.
Private-equity firms want SEC to loosen rules on business development companies
The industry is lobbying to include a measure forcing the SEC's hand in Congress' end-of-year spending bill.
Ric Edelman is bullish on bitcoin, calls much of the advice industry ignorant of its potential
The chairman of Edelman Financial Engines says crypto allocations should be small, very long term and investors should be prepared to lose everything.
Ex-Securities America broker suspended for hidden options trades that hurt client
The broker recommended that a customer open an account away from Securities America.
Finra exams find fault with sales of variable annuities, nontraded REITs and private placements
Regulator highlights reps engaging in unsuitable product sales and firms not conducting appropriate due diligence.
Alternative strategies prove their worth as stocks turn bearish
Long out of favor, liquid alt funds shine as noncorrelated portfolio ballast.
Bitwise launches two new funds to capitalize on dip in cryptocurrency market
Funds are built for professional investors sick of waiting for SEC to approve a bitcoin ETF.
Real estate investment firm Direct Source Wealth under investigation in Indiana
Firm is raising millions without state or federal filings.
The gold rush that is reshaping private banking
An explosion in wealth in the wake of the financial crisis has banks targeting the growing ranks of super rich.
Hedge fund investors lose key tax break
Inability to deduct management fees will make the funds, which are struggling this year, even less attractive to investors.
As it works to pull off a merger, FS Investments admits shortcomings
Management makes public statements about weaknesses at company's funds.
Female advisers more likely to consider ESG investing strategies
Use of ESG investments is increasing year over year, and women show the highest levels of interest and understanding of their benefits
Auditor walks away from private placement firm GPB Capital
A change in auditors can be perceived as a red flag by many investors.
Are advisers investing client assets in Bitcoin?
The popularity of cryptocurrencies is gaining steam, with large industry players ramping up offerings tailored to institutional investors, but growing investor demand is expected to soon spill over to financial advisers.
Finra arbitrators award $1 million to retirement investors in fraud involving Texas REIT
IMS Securities withdrew its Finra registration in 2017, and was expelled from the industry this year.
JPMorgan, Carlyle are latest Wall Street firms to back iCapital
Both already use iCapital's technology to offer alternative investments like hedge funds and private equity to high-net-worth investors.
