December 21, 2012

Market Blitz With David Blitzer; Growth by Design Study; 2013 Career Guide: January Investment Advisor—Slideshow

The new year typically gets people looking ahead at things to come. Considering the things David Blitzer, managing director and chairman of the index committee at S&P Dow Jones Indices, sees coming, we couldn’t wait to share them. Blitzer, along with S&P Dow Jones Indices CEO Alex Matturri, talk Libor, housing, inflation, Europe and more with IA Editor in Chief John Sullivan.

We also present the second installment of FA Insight’s 2012 Growth by Design study. The authors expound on the myriad benefits and challenges for advisors trying to grow their practices. 

The first issue of the year also brings our annual broker-dealer career guide. This year, we take a look at an innovative model for advisor succession borrowed from a surprising—but well-tested—source: the medical profession. Also, career guide alum Megan Bader shares what she’s learned now that she’s out of school and in the work force.

Market Blitz

There’s something anachronistic about David Blitzer. It’s as if he’s straight out of central casting for one of those faux black-and-white, mahogany and Corinthian leather commercials about listening to clients and the fundamentals of investing that were popular in the 1990s. That’s good, because now (especially now) what the bespectacled and bow-tied Blitzer exudes, more than anything else, is reassurance. He tells John Sullivan, editor in chief, why.

Read the full article.

Gains and Strains: The 2012 Advisor Growth by Design Study

The great majority of advisory firm owners fixate on growing their businesses. It is a fundamental characteristic of their DNA. And why not? Multiple positive outcomes can be achieved as a firm grows and achieves greater scale. These aspirations, however, frequently overlook the very real risks that rumble beneath the growth trajectory and threaten to derail firms when growth goes wild. FA Insight’s Eliza De Pardo and Dan Inveen break down the survey’s results.

Read the full article.

A Next-Gen Shot in the Arm

If you want an idea of how to help and support the next generation of advisors, look no further than the medical profession. Sure, it’s more about modern portfolio theory than appendicitis, but few would ever argue that medical students should hit the phones and begin cold calling immediately upon graduating. While medical residents are learning to save lives and comfort the afflicted, how is ensuring a client’s financial solvency well into retirement any less important? Craig Pfeiffer, CEO of Advisors Ahead, shares how he took an old model and applied it to the financial services industry.

Read the full article.

Bridging the Next-Gen Divide

A lot has changed for Megan Bader since first appearing in our career guide two years ago. A senior at the time in the financial planning program at Texas Tech, today she’s gainfully employed. Bader explains what she has learned about the industry since then and shares solutions for future advisors.

Read the full article.

Slow and Steady Wins the Reg

Dale Brown, president and CEO of the Financial Services Institute, sits down with Editor in Chief John Sullivan to talk about the effect of the election on the industry, what to expect in 2013 and more.

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Tom Giachetti's 10 Blunt Compliance Warnings

Tom Giachetti doesn’t mince words. After Nexus Consulting’s Tim Welsh introduced the “celebrity compliance attorney” at the first of a three-city Laserfiche and Junxure Compliance Workshop road show in November 2012, Giachetti spoke bluntly, broadly and specifically on how advisors can protect themselves from regulators. Group Editor in Chief James J. Green reports on Giachetti’s warnings.

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