The term "platform" is often used to refer to a specific financial services firm within various mutual fund distribution channels, which can include wirehouses, broker dealers, RIAs, DC/Retirement, Bank and Trust.
A wholesaler just left a voicemail that said, "I am following up from an email that I sent you last week regarding our interest rate outlook. I wanted to get your thoughts on our products and investment process."
Two longtime successful financial advisors shared their insights. Barbara Moser of Moser & Heier, $200M AUM and Shawn McLaughlin of McLaughlin Ryder, $650M AUM talked about how they select new funds for their clients' portfolios.
Unless you’ve been living under a rock, you’ve heard of the impending DOL fiduciary rule. While it’s unlikely the DOL Rule will go into effect as initially proposed, some form of it will likely persist because, as they say, “you can’t un-ring a bell.”
Are your portfolio managers too busy handling assets to set aside time to sell? Is performance down, and the need to make sure funds are being sold ever-growing? If you answered yes to either of these questions, it is time to hire a wholesaler.
Recently published research shows that 45% of worldwide fund assets are controlled by 1% of the funds.
Did you miss this article the first time? From time to time we like to open the vault and re-release relevant posts. This post originally appeared in July and remains relevant as we head into the new year.
The mutual fund industry is changing, and fast.
Shareholders can spot a tall tale!
Finally, the campaigning is over and we have a new President. Some investors are looking to you for guidance as to what it all means.