Investment Advisor July 2012




  • Women Are Not a Niche

    At a recent Barron’s Top Independent Advisors conference, an audience member posed a question to me and my counterparts that seemed like a flashback to the 1970s and ‘80s.

  • The Heat Rises on FINRA as Advisor SRO

    Just as a government watchdog is pressuring the Securities and Exchange Commission (SEC) to beef up its oversight of the Financial Industry Regulatory Authority (FINRA), Congress is mulling whether to give FINRA the power to oversee advisors.

  • Upping the Ante

    In my April 3 blog (See “What Morningstar’s FeeCheck Tells Us About AUM Fees,”, I wrote that because FeeCheck is based primarily on data from brokers, the high AUM fee levels it references and recommends—from 1.6% to 2.5% on a vanilla portfolio—don’t reflect what’s currently being charged in the...

  • The Secrets to Advisor Success

    The biggest challenge to an advisor’s success is simply learning to live with it.