Features
By James J. Green
In volatile times, communication and culture are B/D
leaders’ touchstones...
By Russ Diachok
An assessment of who will succeed—and fail—among the independent B/D ranks...
By Robert F. Keane
Bob Whalen moved to Brewer Financial Services because of the depth of product and open architecture. He expects a lot of other reps to follow suit....
By Mike Patton
To do the job right, the fiduciary financial planner needs the right temperament, and the right tools. Here’s how one advisor does it....
By Marlene Y. Satter
You made sure your clients had all the right protection; then insurance became a minefield. What now?
...
Beginnings
By Staff Writer
The latest market numbers...
By Marlene Y. Satter
Advisors whose high-net-worth clients have trouble getting coverage for their homes in coastal and other hard-to-insure areas might want to take a look at Privilege Underwriters Reciprocal Exchange (PURE). ...
By James J. Green
On the formation of Salient-Friedman Wealth Management LLC...
By Staff Writer
Industry association news...
By Staff Writer
People on the move...
By Staff Writer
Research results, buying and selling, and more...
By James J. Green
Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013, reaching 55% from 48% last year. ...
By Vaughan Scully
Over the past year, ETFs holding money market securities—Treasury, municipal, and corporate bonds that mature in less than a year—have sprung up to give investors a "cash-equivalent" ETF option....
By Jeff Joseph
You could improve your value proposition and your clients’ portfolios by developing private venture investing competency....
By Melanie Waddell
As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission’s enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way....
By Don Schreiber, Jr.
Banks, markets around the world have been rallying, but before celebrating, advisors should look carefully at the underpinnings of the market’s rally....
By Larry Chambers
The public is looking for answers, and that alone may be the biggest marketing bonanza ever....
By James J. Green
“Being able to prosper is not the same as actually prospering.”...
Columns
By Robert F. Keane
Climate change can present some healthy investment opportunities for your clients, even if you don’t believe it’s real....
By Mark Tibergien
Advisors and their clients must alter their approach to future relationships....
By Bob Clark
Many clients just aren’t comfortable riding out the kind of
volatility that most investment markets experience from time to time....
By Lewis Schiff
A new study identifies the evolution of best practices...
By Olivia Mellan
“There is considerable therapeutic value in the ability to ‘act
as if’ you are confident in the midst of a serious setback.”...
By Angela Herbers
Sometimes you have to step back and let your people do what they do....
Conclusions
By Melanie Waddell
Investment advisors are steadily increasing their use of immediate annuities for rollover dollars, according to a recent study by Cerulli Associates. ...
By James J. Green
While the market performance of the last 18 months (at least until March 9) has hurt just about every investor and advisor across the board, there are some silver linings from the downturn....
By Melanie Waddell
News on healthcare, target date funds, and insurance...
By Elizabeth D. Festa
A new study published by Moss Adams and Pershing affiliate iNautix—The Art of Efficiency: A Holistic Approach to Operations—reveals what most suspect but perhaps won’t acknowledge....
By Elizabeth D. Festa
It appears that the best broker/dealers limit the number of investment vehicles on their approved list....
By Staff Writer
Important news for broker/dealers...
By Thomas D. Giachetti
Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures....
By Contributing Writer
There are security analysts who have no fear about taking positions in derivatives based on arcane algorithms, but they seem to when it comes to analyzing investments based on commercial and apartment real estate rentals.
...
Sidebar Stories
By Melanie Waddell
Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers....
By Marlene Y. Satter
While coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of protection are set by most states....
By Angela Herbers
Bob Reed’s decision to build a firm that allowed all its employees to exercise their abilities has led to growth in assets under management and in revenue even during this grinding recession....
By Olivia Mellan
If a client needs a type of support that you can’t provide, will you be ready with a referral?...
By Marlene Y. Satter
Proving the cost basis of annuities can be difficult if the company is split up, sold, or acquired. ...
By Robert F. Keane
Why climate change is likely to be one of the major investment themes of the next 20 years...
By Thomas D. Giachetti
While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved....
By James J. Green
Boomers are poised to affect in a big way another bedrock of society: the housing market....
By Larry Chambers
If you’re busy cutting your marketing budget right now because revenues are down, think twice....
By Robert F. Keane
Bob Whalen, Brewer Financial Services...
By Russ Diachok
One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. ...
By Marlene Y. Satter
There are several different classifications of insurance you should be aware of. ...