Diana Britton

Diana
Britton
Managing Editor

Diana Britton is the Managing Editor of WealthManagement.com, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.

Articles
Fund Manager Invesco Acquires Robo-Advisor Jemstep 1
Asset management firm Invesco is getting into the robo-advisor business with its acquisition of Jemstep, announced today.
Bob Doll's 10 Investment Predictions for 2016
2016 is likely to be a "muddle-through" kind of year, with limited headway for S&P earnings, a single-digit percentage change for stocks, and continued geopolitical issues. Nuveen's Bob Doll provides his 10 predictions.
The 10 Best and Worst Performing Funds of 2015
A recent Morningstar study found that top performing funds in the previous year do continue to benefit in the short term. So which mutual funds did the best and worst in 2015?
This Year’s Worst Performer Could Be a Future Winner
Investors have just as good a chance of choosing a future winning actively managed fund from the worst performers as they do from the best, according to Morningstar.
Is There a Crowd For Equity Crowdfunding? 1
A new crop of broker/dealers and funding portals are forming to capitalize on new equity crowdfunding rules. But will there be a market?
RCS Capital to File Prearranged Bankruptcy
RCS Capital intends to file for prearranged Chapter 11 bankruptcy and has negotiated a $150 million investment to keep Cetera’s doors open. Advisors will be offered retention deals.
The Top 10 RIA Deals of 2015
As the year comes to a close, we highlight some of the biggest RIA deals of the year, many of which are mega-deals.
Advisors’ Top 10 Investment Ideas for 2016
As the end of the year approaches, many advisors are planning their 2016 investment strategies. Here are their top 10 investment ideas.
Cerulli: Insurance Firms Most at Risk From DOL Fiduciary Rule
Insurance b/ds have the most to lose from the DOL's fiduciary rule because of their dependence on commissions, proprietary products and IRAs, Cerulli says.
Group Recommends FINRA Arbitrators Explain Decisions
FINRA’s 13-member arbitration task force passes on recommending changes to mandatory arbitration overall, but suggests arbitration decisions be explained.
Advisors Aren’t Worried About Rate Hike, But Lack Thereof
Advisors are more concerned that the Fed won’t raise rates on Wednesday.
RCAP to Wind Down Wholesale B/D
RCS Capital will wind down its wholesale broker/dealer early next year. It also settled with the Massachusetts Securities Division for $3 million.
Moody’s Downgrades RCS Capital’s Debt
Moody’s has downgraded RCS Capital's credit ratings due to the firm’s diminished ability to pay down its debt and the risk that it may not find new investments needed to protect bondholders.
Old-Fashioned Exams
While FINRA considers revamps to its Series 7 exam, some say the tests are outdated barometers of competency in an industry that has changed.
RCAP Appoints New General Counsel
RCS Capital (RCAP) has appointed Mason Allen as its new general counsel, taking over for James Tanaka immediately.
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