Investment Advisor November 2008

Features

  • Measure Twice, Sell Once

    By Brad Buffermann, David Grau, and Bob Clark Down markets are traditionally good for independent advisory practices. Many firms get a flood of new clients deserting...

  • Hitting the Milestones

    By Rajini Kodialam and Rudy Adolf n life, milestone events--a marriage, the birth of a child, a round-numbered birthday--prompt us to pause and take stock. We...

  • Problem Solver

    Just about any advisor can help someone with substantial assets get his financial house in order and set up a plan for the future. Dennis...

  • The Essence of Independence

    The heavy hits taken by wirehouse firms during the last few months' turmoil have led many brokers who may have idly thought about going independent...

  • Getting Your Shares

    Advisor Mike Patton of Integrity Wealth Management in Baton Rouge, Louisiana, thinks highly of exchange traded funds in building client portfolios since they are relatively...

  • In The Game

    "Basically, I felt stuck," recalls Matthew Keeling, a planner at Keeling Financial Strategies, in Mashpee, Massachusetts. "I knew what I wanted to do. I knew...

Beginnings

  • A Q2 Meltdown

    Using words like "violent," "extreme," and "unpredictable," Hennessee Group LLC principals Charles Gradante and Lee Hennessee struggled to describe the staggering September losses experienced by...

  • Capitalism Comes To China

    Market participants may find some irony in the idea that as the capitalist West embarks on bailouts and nationalization, the still--officially--Communist nation of China is...

  • The SEC Rethinks Disclosure

    At a time when the markets are at their worst, the Securities and Exchange Commission, via its 21st Century Disclosure Initiative, is examining how to...

  • Catching Up With: Ken Fisher

    Over the past few years, we've checked in with Ken Fisher several times to see how the founder and CEO of this largest of RIA...

  • Moving On

    By James J. Green and Melanie Waddell Lo, how the mighty have fallen, and who knows where it will end? This year is turning out to...

  • Group Think

    ? Schwab Institutional announced the winners of the third annual Impact Awards, which honors advisors and firms that have "advanced the industry through their visionary...

  • Changes

    William Hart, founder of Chicago-based Hartline Investment Corp., has been elected chairman of the board of National Advisors Trust, owned by over 130 independent financial...

  • Upgrades

    CRM Software, which makes the CRM application Junxure, is getting into the practice management consulting business through the Junxure Solutions Group, which CRM President Greg...

  • An Economic Excursion

    The national savings rate in the United States is approaching an all-time low, meaning many American families are not in a position to successfully plan...

  • Trust and Context

    Among all the numbers surrounding the current economic crisis--$700 billion for the bailout of the toxic mortgages (or will that be used to buy stock...

Columns

Conclusions

Sidebar Stories

  • Safe and Sound

    Our role, says Charles Goldman, is to "provide safety and soundness of clients' assets" for the advisors who custody those assets at Schwab Institutional (SI)....

  • A Tale of Two Cities

    At a time when investor confidence has been shaken by the almost daily news of unprecedented bailouts, bankruptcies, nationalizations, and stock markets that seemed to...

  • Gestation Questions

    Before deciding to launch your own RIA ask youself these three key questions: ? Are you prepared for the financial challenges and personal sacrifices you will...

  • Self-Examination Questions

    Successful advisors don't end their introspection once they've decided to become an RIA. In fact there are always more question to ask, such as: ? What...

  • Transition Questions

    nce your RIA is an established enterprise, a new set of questions needs to be addressed, including: ? What is your timeframe for retirement and how...

  • About the Planner: Dennis K. O'Brien

    Dennis K. O'Brien President & founder Coastal Financial Advisors 503 Casino Drive Farmingdale, New Jersey 07727 Phone: 732-683-2330 Web site: www.coastalfa.com Year firm established: 1999 Advisors in firm: 1 Number of clients: 25 Compensation: fee-only Client...

  • Being There

    Like many advisors, Dennis O'Brien spent much of his time on Monday, September 30, the day that Congress failed to pass the financial rescue bill,...

  • The Retirement Angle

    Conditions are improving for the increased use of exchange-traded funds in 401(k) plans, according to their proponents in the third-party administrator and investment fields. Before...

  • Becoming A Coach

    The International Coach Federation (ICF) (www.coachfederation.org/ICF) is a worldwide resource for business and personal coaches, as well as a source for those who are seeking...

  • Coaching for Producers

    "As a member of the independent broker/dealer business, Genworth Financial's vision is to be the wealth management partner of choice for independent financial professionals, and...

  • Compensating a Coach

    "The bottom line is you need to ask about return on investment, and specific experience with investment advisors," cautions Doug Gray, vice president of learning...