Investment Advisor March 2011




  • Multiple Choice

    Every so often the trade publications feature a rash of articles about the success of roll-up firms focused on consolidating financial advisory practices.

  • SEC Fiduciary Rule May Hit by Summer

    Despite the advisory industry’s hopes that the Securities and Exchange Commission (SEC) would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.

  • A Study in Flexibility

    Now that the euphoria that followed the SEC’s Study on Investment Advisors and Broker-Dealers has waned a bit, it’s time to take a more somber look at what this much-awaited document says.

  • Protect Affluent Clients’ Data—and Privacy

    We read about all the large data lapses in the news—credit card info for thousands of TJ Maxx customers stolen, Countrywide losing mortgage application data for thousands of people, etc.

  • A Star is Made

    When it comes to hiring junior advisors, virtually every advisor I’ve ever seen wants to hire a star: some youngster with a resume’ that will knock your—and their—stocks off.