Investment Advisor June 2009

Features

  • Leadership

    In the middle of one of the most challenging times in the industry's history, how are independent broker/dealers coping? The leaders of 67 of the...

  • Survival of the Fittest

    It may be hard to believe, but it was only last autumn when, in what seemed to be a blink of an eye, our capital...

  • Directional Advisor

    Bob Whalen spent the first 16 years of his career in the American Express family, ending up as a group VP at Ameriprise Financial Services...

  • Temperament & Tools

    When you consider the financial planning industry as a profession, the future is extremely bright. This is partly because the financial planner is the only...

  • Saving Grace

    Tommie Monez of Focus Wealth Management in Middleburg, Virginia, is keeping an eye on current conditions in the insurance industry on behalf of two of...

Beginnings

Columns

Conclusions

Sidebar Stories

  • SEC's Walters Backs Harmonizing B/D, Advisor Rules

    Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers. In a speech before the Mutual...

  • States' Basic Protection

    While coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of...

  • Now and Then

    Bob Reed's decision to build a firm that allowed all its employees to exercise their abilities has led to growth in assets under management and...

  • How to Build a Support Network

    If a client needs a type of support that you can't provide, will you be ready with a referral? Consider e-mailing your colleagues and friends...

  • A Cautionary Tale

    Morris Armstrong, of Armstrong Financial Strategies in Danbury, Connecticut, is guiding a client through another problem that is becoming more common as insurance companies are...

  • A 20-Year Investment Theme

    In September 2007 Schroder launched its ISF Global Climate Change Equity Fund, which is based in Luxembourg and currently only available to European investors. On...

  • Not Just the CCO

    While the chief compliance officer (CCO) should of necessity be the main player in the compliance review process, whenever possible I strongly recommend that at...

  • Boomers Still Prefer Aging in Place

    As in many other areas over the past few decades, boomers are poised to affect in a big way another bedrock of society: the housing...

  • Not Sitting Still

    If you're busy cutting your marketing budget right now because revenues are down, I suggest you think twice. For instance, do you want to know...

  • About the Planner

    Bob Whalen President Brewer Financial Services Group 200 South Michigan Avenue Chicago, Illinois 60604 Phone: 312-896-3930 E-mail: info@brewerfinancialgroup.com Web site: www.brewerservices.com Year firm founded: 2001 (B/D launched in 2005) Number of advisors in firm:...

  • Coming to an RIA Near You

    One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However,...

  • What's In A Name

    There are several different classifications of insurance you should be aware of. The classification determines the type of regulation that governs it; knowing a policy's...