Investment Advisor January 2012




  • Occupy Main Street

    Every business impacts five constituencies: its clients, stakeholders, vendors, employees and community.

  • New Year, New Fiduciary Rule?

    While SEC Chairman Mary Schapiro said in mid-December comments first reported on Bloomberg that the agency would issue a proposed fiduciary rule this year, she also stated in the Bloomberg interview that a fiduciary rule proposal will be “business model neutral” and allow brokers working with retail investors to sell...

  • What’s in a Plan?

    “In our view, transitioning control and management of [advisory] firms from founding owners to a new generation will prove to be the single most challenging issue for advisory firms over the coming decade.”

  • Six Mistakes Most Managers Make

    A big part of my motivation to create the P4 principles that were covered in the November 2011 issue of Investment Advisor (“Let Go to Grow”) was watching my owner/advisor clients make the same employee mistakes over and over, never questioning their methods and greatly diminishing the success of their...


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