Tag: Alternative investments

The Financial Industry Regulatory Authority (FINRA) imposed a $950,000 fine on LPL Financial LLC for supervisory deficiencies related to the sale of various alternative investment products.

In prior decades, international and emerging market stocks were good investments to get diversification for a retirement plan portfolio, but things have changed.

Advisers can put their proficiency in alternative investments to the test with the Fundamentals of Alternative Investments Certificate.

Even the best laid plans can go off track, and this is true for defined benefit plan portfolios.

A strong recovery in asset values and pension funding levels hasn’t slowed the pace of change in institutional investment portfolio strategies, according to an analysis from Greenwich Associates.

New indices released by Thomson Reuters offer liquid access to and performance analysis of the U.S. private equity industry.

The expectations of institutional investors are predicted to remain positive during 2014 and beyond, says a new survey.

The portfolio consulting group of Envestnet Inc. launched a new multi-manager portfolio series called the Liquid Endowment Portfolios, designed to address rising correlations across asset classes.

Investors around the world contributed almost $1 trillion in net flows to investment funds during 2013, similar to levels observed in the preceding year.

Alternative asset custody and rollover specialist Millennium Trust Company hired four new vice presidents to assist sales and solution delivery.

Investment management and financial services firm Neuberger Berman has introduced the Neuberger Berman Unconstrained Bond Fund.

John Hancock Investments is seeing defined contribution (DC) retirement plan clients add alternative mutual funds to their menu of investment options at a rapid pace.

Institutional investors working with Towers Watson more than doubled asset flows moving into “smart beta” strategies last year, reaching $11 billion of inflows in 2013.

An analysis from financial analytics firm Cerulli Associates finds exchange-traded fund (ETF) use among registered investment advisers (RIAs) has grown nearly 27% annually over the past five years.

New analysis from State Street Global Advisors (SSgA) shows smart beta strategies, designed to take advantage of both active and passive investing principals, are gaining popularity.

Average daily transfer activity for defined contribution (DC) plan participants remained unchanged in January compared with the previous month, according to the Aon Hewitt 401(k) Index.

Michael Dieschbourg joined Federated Investors Inc. as head of the company’s new alternatives and managed-risk investment group.

Putnam Investments is putting more emphasis on investment strategies that can help financial advisers and their clients pursue strong, risk-adjusted performance in volatile markets.

Daniel Leger joined Akre Capital Management LLC as head of strategic planning and client services to help the firm expand its institutional investor business.

Financial advisers who propose alternative investments to their clients can expect increased, ongoing scrutiny from the Securities and Exchange Commission (SEC).