In times of uncertainty and turbulence it is often a time to make difficult decisions. Small funds have tough choices to make if they want to survive.

FINRA's comprehensive review, FINRA360 Initiative, was developed as an "audit" of all the self-regulator's operations and programs.

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 key to growing your fund is knowing your advisors. Most fund companies, unless they made a concerted effort and invested a fair amount of money, don’t really know who the advisors are that are recommending their funds. 

SunStar Strategic webinar - An Inside Look: Mergers, Acquisitions & Private Equity Investments in the Asset Management Industry 

“Reports of the death of active management are not just premature, they are altogether incorrect.”

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."

All too often we hear about media opportunities that were lost or turned away because on the surface they seemed they might not be exactly the right fit. 

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.

In the spirit of St. Patrick’s Day, we’re taking a look at some popular investing myths that seem to captivate investors.