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Byron Wien’s 10 surprises for 2011
Blackstone Group LP's Byron Wien, who called the bottom for U.S. stocks in 2010 while failing to predict the ensuing rally, said economic growth and 10-year Treasury yields will approach 5 percent this year and gold will surge above $1,600 an ounce.
<b>INTV:</b> Advisers and B-Ds rattled by private placements
Private placements require a higher level of scrutiny than listed securities, so advisers need to know who is doing the auditing and whether independent due diligence is being conducted. InvestmentNews News Editor Bruce Kelly explores some of the risks and issues engulfing the industry.
Custodians taking closer look at adviser compliance
Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.
Being distant No. 2 in custody biz doesn’t faze Fidelity’s Mike Durbin
Mike Durbin, president of Fidelity Institutional Wealth Services, has his work cut out for him.
GAO report could be first step toward regulating financial planners
In a Washington where Republicans are ascendant — taking over the House and increasing their Senate numbers to a level that ensures filibuster success — the term “regulation” is unpopular.
Chamber president seeks to slow Dodd-Frank, decries ‘regulatory tsunami’
The leader of one of the country's most politically influential business organizations in a speech today criticized what he called a “regulatory tsunami” in Washington that represents the “biggest single challenge to jobs … and the future of American enterprise.”
Schwab hit with another suit over bond fund
The Charles Schwab Corp. has been hit with another lawsuit claiming that its Total Bond Market Fund, which was represented as tracking the Lehman Brothers U.S. Aggregate Bond Index, loaded up with mortgage-backed securities prior to the financial crisis.
Joe Montana’s private bank taps former Citi exec
Modern Bank NA, a lender to the wealthy where former football quarterback Joe Montana is vice chairman, hired Citigroup Inc. veteran Damian Kozlowski to lead a turnaround after almost $30 million of losses in five years.
Advisers preparing for threshold switch: NASAA
Like many aspects of the financial-regulatory-reform legislation that became law July 21, the provision that increases the threshold for state regulation of investment advisers doesn't go into effect for another year.
United Capital seeks conformity from advisers
Joseph Duran, the roll-up firm's CEO, thinks he has the right plan for extracting value from a disparate group of wealth managers
Money fund industry aims to foist reporting burden onto B-Ds
To avoid future panics in money market funds, the mutual fund industry is calling on federal regulators to force broker-dealers to disclose information about their money fund clients.
MSSB provides advisers with internal social network
Morgan Stanley (Smith Barney) has launched a limited internal social network for its 18,000 brokers and advisers.
A time for resolutions in Washington
Let's hope President Barack Obama and members of Congress have made New Year's resolutions and that they plan to keep them
Vanguard pairing 401(k) investors with CFPs
Participants in some 401(k) retirement plans managed by Vanguard Group Inc. now have access to advice from certified financial planners.
Ironing out insider trading’s latest wrinkle
Yet another scandale is rocking Wall Street
The next frontiers in wealth management
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
Top advisers with $68B in client assets jumped ship in 2010
Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers, according to InvestmentNews data.
A headhunter’s dinner with three unhappy advisers, Part 4
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
A headhunter’s dinner with three unhappy advisers, Part 3
Of the three buddies (Wirehouse Adviser, Regional Firm Broker, Boutique Adviser) who are sitting with me this night…
A headunter’s dinner with three unhappy advisers, Part 2
“There is no simple or perfect solution. And the best place for one of you will not necessarily…
