Investment Advisor January 2009

Features

  • First Responder

    The veteran advisor from New York was clearly distraught. It was also clear that he wasn't often distraught when it came to matters financial. He...

  • More Pain, Then Pleasure (Maybe)

    Hindsight may always be 20/20, but in these market and economic times, the cognoscenti seem to agree that even perfect vision and an understanding of...

  • Something for Everyone

    Many advisors like to say they've spent a lifetime in the business, but for Robert Lutts it's true. He's spent the last 25 of his...

Beginnings

  • Asset Allocation

    "The key to 2009 is whether an Obama stimulus package can ignite consumer rebound," says Kelly, the chief market strategist for JPMorgan Funds, adding that...

  • More Regulation Post-Madoff?

    The only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...

  • Focus on Financials

    No doubt about it: 2008 was a bad year for financial services stocks. The S&P 500 financial services index registered a 60% downturn through December...

  • What to Do Now?

    When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the...

  • Schwab Reorganizes; Fidelity Hires; Pershing Provides

    The three major custodians of RIA assets announced big executive changes and a new practice management program in just over a month. First, the largest RIA...

  • Focus Expands

    Focus Financial Partners, the buyer of advisory firms led by CEO Rudy Adolf, has entered the business of providing consulting help to brokers looking to...

  • Group Think

    ? Three of the largest organizations of financial planners--the CFP Board, the FPA, and NAPFA--announced that they are holding a series of exploratory meetings to...

  • Changes

    ? The FPA named Tom Potts as president-elect for 2009. In addition, six new members were elected to the FPA's board--Michael Branham, Diana DeCharles, Paula...

  • Upgrades

    Fidelity Institutional Wealth Services said December 9 that 25 of its affiliated RIAs are using its WealthCentral platform, the Web-based, integrated wealth management platform that...

  • Green Giving

    "We at Alger have been expanding our charitable activities in both participation and donations for about seven years now, trying to focus on giving back...

Columns

  • What to Do with the Family Business

    Creating The right recipe for a successful transfer of a family business to a child, requires several special ingredients. The child needs to be well...

  • Green Investing in Trying Times

    I'm sure that every generation of Americans has faced a crisis that gave them good reason to embrace Thomas Paine's revolutionary quotation of 1776. In...

  • The Recession Blues

    Recessions give me depressions. Those who run financial services firms know what I mean. We feel high anxiety for our employees, as we decide who...

  • Compassion Fatigue

    I don't watch much TV these days, but one of my favorite shows is "Scrubs," perhaps partly because of its hospital setting, in my opinion,...

  • Watch Out. Reform Is on the Way

    As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms...

  • Understanding Overspending

    America is in many ways a young nation. Born and raised in a pioneer mentality of endless expansion, we have little experience with the other...

  • First Aid Kit

    When I started my consulting firm seven years ago, I went through hundreds of different scenarios of what could happen to advisory firms in the...

Conclusions

  • Obama's Retirement Agenda

    Since the time is drawing nigh that the Obama Administration will be officially christened, it's important to refresh our memories about how the new Administration...

  • Passing It Along

    Despite the market maelstrom that has slashed the value of portfolios left and right, there is still plenty of wealth that is on the brink...

  • Retirement Planning News & Products

    A recent analysis by Hewitt Associates of 2.7 million U.S. workers found that the average 401(k) plan balance has dropped 14% in 2008 to $68,000,...

  • Fixing Fiduciary Failings

    The Retirement Advisor Profile The advisor: Blaine Aiken The firm: fi360 The Web site: www.fi360.com The approach: Promoting the fiduciary standard worldwide, and educating companies and individuals as to...

  • New Tax Lot Accounting

    Getting on top of the tax lot requirements put forth by the Internal Revenue Service (IRS), which was rolled into the $700 billion bailout legislation,...

  • B/D Briefings News & Products

    On December 1, 2008, Securian Financial Group's acquisition of Capital Financial Group, Inc. and its broker/dealer affiliate, H. Beck, Inc., closed. The acquisition, announced in...

  • Extra Credit

    The Big Three--Ford, GM, and Chrysler--had not yet even taken their corporate jets to Washington to beg Congress for a bailout when a bit of...

  • In Troubled Times, Give 'Em Hope

    I have been in your shoes. Everyone is telling you to be positive, to take the initiative and call your clients--but that's the last thing...

Sidebar Stories