Alternatives

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Senate Banking Chair warns about private equity ownership of insurance companies
INVESTING RETIREMENT PLANNING MAR 17, 2022
Senate Banking Chair warns about private equity ownership of insurance companies

Sen. Sherrod Brown says PE has a track record of 'undermining pension and retirement programs.' The American Investment Council praises PE stewardship of insurance firms.

Should private equity be in 401(k) plans?
INVESTING OPINION MAR 17, 2022
Should private equity be in 401(k) plans?

The DOL has clarified its earlier advice on this topic, stressing the responsibility of fiduciaries whose plans offer private equity investments.

Want to buy a Banksy? This fintech has an answer
INVESTING ALTERNATIVES MAR 16, 2022
Want to buy a Banksy? This fintech has an answer

The digital alternative investment provider Yieldstreet launched a new art equity fund with exposure to contemporary international artists like Banksy and Takashi Murakami.

Cetera B-D on hook for $2.66 million arbitration claim stemming from REITs, annuities
INVESTING ALTERNATIVES MAR 14, 2022
Cetera B-D on hook for $2.66 million arbitration claim stemming from REITs, annuities

In an unusual aspect of the investors' claim and subsequent award against First Allied Securities, the $2.66 million in damages requested matched the amount the three arbitrators awarded.

DOL warns 401(k) plan fiduciaries against offering crypto investments
INVESTING RETIREMENT PLANNING MAR 10, 2022
DOL warns 401(k) plan fiduciaries against offering crypto investments

The agency 'has serious concerns about the prudence' of exposing plan participants' retirement savings to investments that carry 'significant risks of fraud, theft, and loss.'

Finra seeks comments on possible changes to oversight of complex products
INVESTING ALTERNATIVES MAR 10, 2022
Finra seeks comments on possible changes to oversight of complex products

The regulator is assessing the risks that may arise when retail investors purchase complicated investments without the help of a financial adviser.

ICapital tech platform acquires Stifel Financial's alts feeder funds
INVESTING ALTERNATIVES MAR 10, 2022
ICapital tech platform acquires Stifel Financial's alts feeder funds

The deal, which will close later this month, pushes the assets on iCapital's platform to more than $118 billion.

Biden’s digital assets directive fails to provide clarity for advisers
INVESTING ALTERNATIVES MAR 09, 2022
Biden’s digital assets directive fails to provide clarity for advisers

Advisers will have to wait a while longer before they get answers on issues such as custody, as regulators sort out crypto oversight.

Biden aims for coordinated approach to overseeing crypto
INVESTING ALTERNATIVES MAR 09, 2022
Biden aims for coordinated approach to overseeing crypto

The White House executive order is the first attempt at coordinating the government's strategy, although it falls short of providing a clear direction on regulation.

Onramp Invest regroups after layoffs
INVESTING ALTERNATIVES MAR 08, 2022
Onramp Invest regroups after layoffs

The San Diego-based firm reassured clients and investors about the viability of the company moving forward in a blog post Monday, and sent a heartfelt message to the 18 employees that were let go.

TCW partners with iCapital to improve access to its alts offerings
INVESTING ALTERNATIVES MAR 07, 2022
TCW partners with iCapital to improve access to its alts offerings

The asset manager will use customized technology from iCapital to facilitate its clients' use of its offerings of alternative investments.

SEC’s Crenshaw assures advisers agency doesn’t seek to punish cyberattack victims
INVESTING ALTERNATIVES MAR 03, 2022
SEC’s Crenshaw assures advisers agency doesn’t seek to punish cyberattack victims

The new director of the SEC Division of Investment Management, William Birdthistle, makes his public debut at the Investment Adviser Association conference.

Schwab goes off script with crypto ETF filing
INVESTING ALTERNATIVES MAR 03, 2022
Schwab goes off script with crypto ETF filing

The index-based strategy, which has been described as 'baby steps' into the crypto space, will not offer direct exposure to digital currencies.

Advisor Group B-Ds face slew of GPB claims
INVESTING ALTERNATIVES MAR 02, 2022
Advisor Group B-Ds face slew of GPB claims

Four Advisor Group broker-dealers recently reported facing 58 investor suits totaling $19.4 million related to the private placement investments.

Tyrone Ross resigns as CEO of Onramp Invest
INVESTING RIAS MAR 01, 2022
Tyrone Ross resigns as CEO of Onramp Invest

Co-founder Eric Ervin, who's taking over as CEO, alludes to the 'stresses of dual leadership' in an email to investors.

Bitcoin advances in tentative comeback as haven asset
INVESTING ALTERNATIVES MAR 01, 2022
Bitcoin advances in tentative comeback as haven asset

The largest cryptocurrency rose 4.3% to $43,453 at 10:50 a.m. in London, gaining along with other major digital tokens.

Creative Planning adds $400 million New York City-based RIA
INVESTING RIAS MAR 01, 2022
Creative Planning adds $400 million New York City-based RIA

The Doman Group, which works with athletes and entertainers, marks Creative Planning's first office in Manhattan.

More intense SEC scrutiny of private equity not likely to dull appetite for RIA acquisition
INVESTING ALTERNATIVES FEB 28, 2022
More intense SEC scrutiny of private equity not likely to dull appetite for RIA acquisition

Experts say an SEC proposal would significantly raise regulatory costs but the robust PE sector should maintain its transactional pace.

Russian invasion and sanctions drive oil price rally
INVESTING EQUITIES FEB 28, 2022
Russian invasion and sanctions drive oil price rally

While the S&P 500 Index has fallen 6% so far this year, some exchange-traded funds that focus on the oil sector have surged.

Broker-dealers sell record $10.5 billion in alts in January
INVESTING ALTERNATIVES FEB 28, 2022
Broker-dealers sell record $10.5 billion in alts in January

Investors' demand for alternative investments such as nontraded REITs and business development companies at the start of 2022 is a harbinger for sales over the remainder of the year.