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In a Dodd-Frank study released over the weekend, the SEC recommended that all brokers and financial advisors adhere to the same strict fiduciary standard that currently applies to investment advisers when they provide personalized investment...
Bank of America’s Global Wealth & Investment Management unit, which includes Merrill Lynch, posted increased revenue and advisor productivity in the fourth quarter, signs investors may be shifting assets into longer-term, higher-margin...
Seeking to reach skittish investors, fund companies have been introducing a wave of absolute return funds. The funds aim to produce positive results almost every year. New entrants include Loomis Sayles Absolute Strategies (LABAX), GRT Absolute...
Morgan Stanley’s wealth management division reported $3.4 billion in revenue in the fourth quarter, up 7 percent versus the year ago quarter, as higher commission revenues, asset management fees and net interest income offset lower trading...
Philadelphia: “Getting the proper support has always been an issue at my firm,” groused Harvey during the Q&A session following my presentation. Then he asked a question, impossible to answer in a quick sound bite: “How do elite advisors develop ...
Mutual fund investors are expected to pour $250 billion into equity funds this year, as they reallocate their equity exposure back to their benchmarks, according to a panel from Deutsche Bank Private Wealth Management. The panelists said they&...
Wells Fargo’s Wealth, Brokerage and Retirement business reported growth in assets, revenue and profits in the fourth quarter. Meanwhile, on a conference call with analysts, Chairman and Chief Executive John Stumpf voiced guarded interest in...
In a Dodd-Frank report to Congress Wednesday night, the SEC supported imposing user fees on investment advisers as the best method for improving oversight. But it recommended legislators consider three options, including giving responsibility to...
Waiting for Godot is a classic play in which the protagonists await the arrival of a mysterious problem solver who never arrives. For estate planners and valuation professionals, 2010 was similarly a time for waiting — for tax law resolutions, for...
