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Portfolio > ETFs > Broad Market

Succession Planning: BD vs. RIA; What Really Moves Markets: July Investment Advisor—Slideshow

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July brings our succession planning issue. It may be uncomfortable to think about what will happen to a practice you’ve spent years building when you finally decide to leave it, but as recent events have shown not all exits have the luxury of being planned. As Kim Nourie points out in our cover feature, succession is more than simply planning for the exit—it’s about continuity and continued client confidence in your business as a going concern. What would happen to your practice following a natural disaster or a retiring partner? We talk to a broker-dealer rep and an RIA in our cover feature to see how they approach planning for the unforeseeable and the inevitable.

Also this month, we break from our usual Overlooked Manager’s feature to tell you about an overlooked broker-dealer. Medical Capital and Provident Royalties have brought BDs into the spotlight in a bad way. Top reps with Financial Network Investment Corporation are working hard to raise the industry’s image; find out what they’re doing.

In part II of our Grow Your Firm series, Spenser Segal, CEO of ActiFi and 2011 IA 25 honoree, explains how choosing the right CRM is so important to your practice—and reveals why so many advisors don’t take advantage of their system.

Click through the following slides to preview the rest of the July Investment Advisor features.

Finding Success in Succession Planning, IA, July 2011Finding Success in Succession Planning

Half of advisors over the age of 50 intend to sell their businesses upon retirement. What does the other half plan on doing? It’s hard to say; research shows just 29% of independent advisors have written succession plans. Whether you’re affiliated with a broker-dealer or completely independent as an RIA, proper succession planning helps you realize value long before you walk out the door. Editor in Chief John Sullivan talks to Kim Nourie of United Planners, and Rob Francais of Aspiriant, to get their take on succession planning.

Read the full article.


Raising the Bar, IA, July 2011Raising The Bar

With Medical Capital and Provident Royalties dominating headlines, top reps with Financial Network Investment Corporation are mad as hell about the current state of the broker-dealer industry. They’re not going to take it anymore, and have taken it upon themselves to do what they can to set it right. In a departure from our usual Overlooked Manager’s feature, Editor in Chief John Sullivan uncovers what the reps with Financial Network Investment Corporation are doing to improve the industry’s image.

Read the full article.

What Really Moves Markets?, IA, July 2011What Really Moves Markets?

Disasters affect financial markets from Pearl Harbor to Fukushima, but what role does human behavior play in market successes and failures? As AdvisorOne blogger Mike Patton writes, Americans’ overall optimism can yield to pessimism in the face of a disaster, but the market’s reaction isn’t a given. Find out what factors influence financial markets in the fallout of natural – and unnatural – disasters.

Read the full article.

Tim and Ted's Excellent Adventure, IA, July 2011Tim and Ted’s Excellent Adventure

The principals of Capstone Investment Financial Group thought the height of the financial crisis would be a wonderful time to launch their own mutual funds. It might seem like a major investment in a product or service outside your core competency—at a time when most advisors are simply hanging on for their lives—isn’t the shrewdest move. Are they crazy? Editor in Chief John Sullivan explains why the answer to that questions is “like a fox.”

Read the full article.

A Flight to QualityA Flight to Quality

Emerging markets have proved to be fertile ground for intrepid investors. But what about investors who want to take advantage of those markets potential for growth, but can’t stomach the risk? A growing number of investors believe the best way to capture emerging markets growth is to invest in, of all places, developed markets. Savita Iyer-Ahrestani explains how.

Read the full article.

The Relationship Manager, IA, July 2011The Relationship Manager

In the June issue of Investment Advisor, we began a series on ways to grow your firm. This month, ActiFi CEO and recent IA 25 honoree Spenser Segal explains how CRM software can help you grow your business and increase profits, but raises an important question: With so many benefits to CRM, why don’t more advisors take advantage of all the technology has to offer?

Read the full article.


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