Investment Advisor October 2011




  • Succession Fears: Working Past the Cult of Personality

    Current events in the news illustrate the difficulty of effective succession planning.

  • The Mixed State of the Advisor Market

    Recent snapshots of the advisory industry’s mergers and acquisition activity, along with new data on the growth and decline in advisory channels, show that as wirehouse advisors are slowly shrinking, the business model of choice has become being dually registered advisors.

  • Separate but Equal?

    To hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.

  • Stumbling on Happiness

    One of the more interesting aspects of consulting with independent advisory firms is that if you work with enough firms for a long enough time, you’ll see some results that you not only didn’t expect, but you couldn’t have predicted.

  • When a Client Is of Two Minds on Risk

    Client risk tolerance is probably the single most difficult factor for a financial professional to measure and address.


Sidebar Stories

  • The Faces of Risk

    People often think of risk as a negative, but risk tolerance is a balance point between too much risk and not enough risk.