This issue contains the sixth in a series of first-person articles in which advisor Mike Patton is chronicling his own Road to Independence from employee advisor to fully independent RIA. His first article in the Series, “Plotting Your Course,” appeared in April 2007, chronicled his first independent baby steps (Patton continues to write other articles for Investment Advisor on topics as varied as Monte Carlo simulation software and estate planning). The most recent Road article, in June 2008, “Lessons Learned,” explored his business philosophy as it has coalesced during independence. All of the Road articles, along with Patton’s other features, and his weekly Road blog, are available at InvestmentAdvisor.com.
The advisor told clients that a woman in Turkey would let him manage a multimillion-dollar estate if he sent her money for legal fees, the SEC said.
The American College survey focused on advisors certified as retirement income specialists.
While 75% of advisor clients view ESG investing positively, only 30% have discussed it with an advisor, Allianz Life finds.
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