Investment Advisor April 2009

Features

  • The Long View

    Debra Brede is working longer hours these days and devoting more of those hours to face time with clients than during any period in her...

  • Values Advisor

    I am now in my 24th month of independence. As you read my account of this journey, I recognize that some of you are already...

Beginnings

  • Asset Allocation

    Behind the Numbers, with Stephanie Giroux "We're in the worst of it now," says Stephanie Giroux, CFA, whose audience as chief investment strategist for TD Ameritrade...

  • The Wired Wealthy

    When it comes to the wealthy, the higher up you are on the asset scale, the more likely that you'll be using a mobile device...

  • Group Think

    ? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...

  • Changes

    ? On March 2 Raymond James Financial named Paul Reilly as president effective May 1, and announced that a year after that date Reilly will...

  • Upgrades

    Twenty-six years after its founding, the Old Tappan, New Jersey fee-only wealth management firm Greenbaum and Orecchio has changed its name to Modera Wealth Management....

  • Numerology: Whither the Wealth?

    In a speech March 10 to the Japan Society in New York, the chairman and CEO of the private equity firm Blackstone Group, Stephen Schwarzman,...

  • Danger & Opportunity: What You Need to Know, Now

    As Washington becomes the nerve center of financial services, advisors will be forced to keep pace with the numerous laws, potential laws, Congressional hearings, and...

  • The ETF Advisor: Socially Responsible Investing

    [This is the first installment of a new monthly feature in Investment Advisor. The ETF Advisor will use the institutional-strength research and analysis resources of...

  • Venture Populist: The Death of Equities?

    [This is the first installment of a new monthly feature in Investment Advisor. Longtime advisor, deal-maker, and alternative-investments observer Jeff Joseph will explore in the...

  • Danger & Opportunity: The Silver Lining

    Tokyo-based SPARX Group was founded in 1989 by Shuhei Abe, who has since grown the investment firm into one of Asia's largest asset managers (and...

  • Danger & Opportunity: Selling Wisdom

    Rather than stumble like their colleagues who maintain a narrow focus on investments, advisors with a broader wealth-management practice orientation can benefit and grow as...

  • Editor's Note: A New Focus

    The advisor I met in Denver on March 18 was an experienced hand, a longtime NAPFA member to boot, but he told me that not...

Columns

Conclusions

Sidebar Stories

  • The Wisdom of Experience

    Early on in a discussion with William Priebe, the chairman and founder of Geneva Capital Management, you know you'll hear not only straight talk that...

  • Five Ways Clients Can Reduce Money Anxiety

    Feelings of powerlessness contribute strongly to money anxiety, forcing many people into what I refer to as their primitive survival mode. Consider suggesting these tools...

  • Leadership Course

    Chances are good that this Credit Crisis '08 will be one of those watershed events in the history of financial services and independent advice. It's...

  • How We Chose the Winners

    This is the fifth year that Investment Advisor and Prima Capital have selected the best separate accounts. Nathan Behan, Prima Capital's director of research, and...

  • Dealing With the Downturn: In Her Own Words

    Debra Brede does all the investment selection for her clients' portfolios. Here's how she describes the adjustments she's made over the last few months: "I've seen...

  • Her Road to Independence

    Debra Brede didn't set out to be an investment manager. She was going to be a doctor and took a job in the financial services...

  • About the Planner: Debra K. Brede

    Debra K. Brede President D.K. Brede Investment Management Company 1253 Highland Avenue Needham, Massachusetts 02492 Phone: 781-444-9367 E-mail: dkb@bredeinvestment.com Web site: www.bredeinvestment.com Year firm founded: 1989 Assets under management: $434 million Number of clients: 600 Compensation:...

  • Dealing with the Downturn

    "Business as usual" is not in my vocabulary during these extraordinary times. Maintaining client contact is more important than it has ever been. In addition...

  • Mike's Tips for Independent Success

    While every advisor will have his own preferences for how he operates, and his own definition of success, here are some suggestions for how to...

  • Taking Notes Along the Way

    This issue contains the sixth in a series of first-person articles in which advisor Mike Patton is chronicling his own Road to Independence from employee...

  • All About Enforcement

    It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm--a tell-tale sign that SEC...

Web Extras

  • Near the Top

    In addition to the seven winners in six categories deemed worthy of being 2009 Separately Managed Accounts Awards winners, the Investment Advisor/Prima Capital awards committee...

  • New DOL Regs

    Department of Labor (Employee Benefits Security Administration, 29 CFR Part 2550, Investment Advice--Participants and Beneficiaries; Final Rule) regulations proposed in the Federal Register on January...