March 31, 2011

Goldman Golden Boy Goes RIA; 2011 SMA Managers of the Year: April Investment Advisor—Slideshow

In the April issue of Investment Advisor we focused on wealth management and the special issues wealth managers face

More On Legal & Compliance

from The Advisor's Professional Library
  • Best Practices for Working with Senior Investors Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.
  • Suitability and Fiduciary Duty Recommending suitable investments is more than just a regulatory obligation.  Many investors bring cases claiming lack of suitability, so RIAs must continuously put the onus on clients to notify the advisor of changes in their financial situation.  

In the April issue of Investment Advisor we focused on wealth management and the special issues wealth managers face. Despite rising quickly through the ranks at Goldman Sachs, John Haase wanted something more and left to start his own practice.

Turmoil in the Middle East has investors worried about what the future holds for those countries. Undoubtedly, the MENA revolution will have immediate impact on investment, but the long-term repercussions are less clear.

April also brings the 2011 SMA Managers of the Year. Selected by Denver-based due diligence firm Prima Capital, this year's winners exemplify what it takes to be the best.

And, we have the final installment of Olivia Mellan's series on Transforming the Workplace. This month, learn how to rebuild trust between employees after it's been broken.

Click through the following slides to see all the April features.

The Right Way to Leave a WirehouseThe Right Way to Leave a Wirehouse

John Haase had a good thing going at Goldman Sachs; a stratospheric rise through company ranks, ultra-high-net worth clients and the respect of his peers. It’s something from which most people would never leave. So why did he? Editor in Chief John Sullivan explains.

Read the full article.

 What Regime Changes in MENA Countries Mean for InvestorsDollars and Dissent: What Regime Changes in MENA Countries Mean for Investors

Savita Iyer-Ahrestani sits down with global investors to explain the effect regime changes in the Middle East and North Africa have on investors beyond those countries’ borders.

Read the full article.

 The 2011 SMA Managers of the YearA Class Apart: The 2011 SMA Managers of the Year

Extraordinary due diligence and a history of success set 2011’s best SMA managers apart from the crowd. Prima Capital, a Denver-based firm that conducts due diligence on SMA managers, joined with Investment Advisor to select the winners. Find out who won.

Read the full article.

 Seven Steps to Restore ConfidenceRestoring Trust: Seven Steps to Restore Confidence

While the importance of trust in the workplace is universally understood, restoring it after it’s been broken is no easy task. Olivia Mellan talks with Dennis Reina, author of “Rebuilding Trust in the Workplace: Seven Steps to Renew Confidence, Commitment and Energy,” to find out how to do it.

Read the full article.

The Equal Weight Evangelist The Equal Weight Evangelist

Tony Davidow, Rydex|SGI’s new ETF strategist, is bringing his equal weight message to the masses. He shares that message with John Sullivan in this month's issue.

Read the full article.

 Structure Capacity to Meet DemandRIA Operations: Structure Capacity to Meet Demand

In the second installment of FA Insight's Growth By Design series, Eliza DePardo and Dan Inveen explain why advisors need to focus as much on accommodating demand as creating it in order to grow their firms.

Read the full article.

 Politics and the Fiduciary StandardSEC and the Fiduciary Study: Politics and the Fiduciary Standard

AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC’s reports on an SRO and fiduciary standard, in Part II of this series.

Read the full article.

The Path to Authentic Client ServiceThe Path to Authentic Client Service

Steve Luckenbach, regional vice president of Jackson National Life Distributors LLC, explains why advisors must ‘serve,’ not ‘sell’ in order to regain investors’ trust and elevate their perceptions of the financial services industry.

Read the full article.

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