Investment Advisor December 2011




  • Buyer’s Remorse

    Much has been written about sellers seeking liquidity or succession solutions, but the real story of the day is the amount of money chasing after a small pool of advisory firms and broker-dealers.

  • Internal Changes at SEC’s Exam Division

    As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.

  • Reality Check

    I was recently accused by one of my friends of being a “numbers guy,” which, as a former philosophy major and professional journalist, I found quite amusing.

  • Owner’s Guilt: Manage It, Before It Manages You

    My October column, “Stumbling on Happiness,” generated a lot of chatter on Twitter and in emails, leading me to believe that the problem of owner’s guilt is a lot more prevalent than I thought.

  • The Pursuit of Happiness

    During nearly 40 years as a psychotherapist, I’ve tried to help people learn to love themselves and treat themselves well in the deepest sense.


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