Investment Advisor-April 2009

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  • Leadership Course

    Angie Herbers

    Chances are good that this Credit Crisis '08 will be one of those watershed events in the history of financial services and independent advice. It's...

  • Insurance Update: Down, Down, Down

    Marlene Y. Satter

    Run a Google search these days for "insurance company ratings downgrade" and you'll come up with page after page of companies losing ground, from Aegon...

  • Retirement News & Products

    Melanie Waddell

    President Obama's 2010 budget includes initiatives to expand retirement savings by including automatic individual retirement accounts (IRAs) and an expanded Saver's Credit for retirement savings...

  • Group Think

    Staff Writer

    ? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...

  • Taking Notes Along the Way

    Mike Patton

    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...

  • The Wisdom of Experience

    James J. Green

    Early on in a discussion with William Priebe, the chairman and founder of Geneva Capital Management, you know you'll hear not only straight talk that...

  • Retirement Planning: Advice Rule Revisited

    Melanie Waddell

    It looks as though the Department of Labor's (DOL) investment advice regulation is in for some changes. The new Administration has asked the DOL to...

  • B/D Briefing: Calm Before the Storm?

    James J. Green

    A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review...

  • Numerology: Whither the Wealth?

    James J. Green

    In a speech March 10 to the Japan Society in New York, the chairman and CEO of the private equity firm Blackstone Group, Stephen Schwarzman,...

  • Dealing with the Downturn

    Mike Patton

    "Business as usual" is not in my vocabulary during these extraordinary times. Maintaining client contact is more important than it has ever been. In addition...

  • New DOL Regs

    Staff Writer

    Department of Labor (Employee Benefits Security Administration, 29 CFR Part 2550, Investment Advice--Participants and Beneficiaries; Final Rule) regulations proposed in the Federal Register on January...

  • Mike's Tips for Independent Success

    Mike Patton

    While every advisor will have his own preferences for how he operates, and his own definition of success, here are some suggestions for how to...

  • Soapbox: How to Restore Trust

    Staff Writer

    It's no secret that most individuals are unhappy with the investment advice they've received recently. Unless advisors received a source message from the spirit world...

  • The Outlook: Negative, but Sound

    Marlene Y. Satter

    In the second half of 2008, Fitch Ratings moved its ratings outlook for most insurance regions and sectors globally to negative. It now expects a...

  • Editor's Note: A New Focus

    James J. Green

    The advisor I met in Denver on March 18 was an experienced hand, a longtime NAPFA member to boot, but he told me that not...

  • About the Planner: Debra K. Brede

    Bob Keane

    Debra K. Brede President D.K. Brede Investment Management Company 1253 Highland Avenue Needham, Massachusetts 02492 Phone: 781-444-9367 E-mail: dkb@bredeinvestment.com Web site: www.bredeinvestment.com Year firm founded: 1989 Assets under management: $434 million Number of clients: 600 Compensation:...

  • Asset Allocation

    James J. Green

    Behind the Numbers, with Stephanie Giroux "We're in the worst of it now," says Stephanie Giroux, CFA, whose audience as chief investment strategist for TD Ameritrade...

  • The Wired Wealthy

    James J. Green

    When it comes to the wealthy, the higher up you are on the asset scale, the more likely that you'll be using a mobile device...

  • All About Enforcement

    Melanie Waddell

    It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm--a tell-tale sign that SEC...

  • Five Ways Clients Can Reduce Money Anxiety

    Olivia Mellan

    Feelings of powerlessness contribute strongly to money anxiety, forcing many people into what I refer to as their primitive survival mode. Consider suggesting these tools...

  • The Psychology of Advice: High Anxiety

    Olivia Mellan

    If your heart beats faster when you check the market update, your head swims when you scan The Wall Street Journal, or your throat dries...

  • Clark at Large: Timing Is Everything

    Bob Clark, Bob Clark

    I don't usually write about mutual funds. My now ex-wife was/is a partner at Thornburg Funds, and it didn't seem fair to expect people to...

  • Formulas for Success: Position Disposition

    Mark Tibergien

    Like snowflakes, each individual is unique and has singular value and beauty. But sometimes, feeling "different" can contribute to a cycle that marginalizes individuals within...

  • Danger & Opportunity: Selling Wisdom

    Lewis Schiff

    Rather than stumble like their colleagues who maintain a narrow focus on investments, advisors with a broader wealth-management practice orientation can benefit and grow as...

  • Danger & Opportunity: The Silver Lining

    James J. Green

    Tokyo-based SPARX Group was founded in 1989 by Shuhei Abe, who has since grown the investment firm into one of Asia's largest asset managers (and...

  • Opportunists

    Michael S. Fischer

    What does it take to manage money successfully in an economic climate widely considered the worst since America's Great Depression? Consider the winners of the...

  • The Green Advisor: A Two-Bucket Approach

    Bob Keane

    The idea of green investing to a large degree began with the socially responsible investing (SRI) movement. In its early years, SRI seemed to operate...

  • The Long View

    Bob Keane

    Debra Brede is working longer hours these days and devoting more of those hours to face time with clients than during any period in her...

  • Her Road to Independence

    Bob Keane

    Debra Brede didn't set out to be an investment manager. She was going to be a doctor and took a job in the financial services...

  • Upgrades

    Staff Writer

    Twenty-six years after its founding, the Old Tappan, New Jersey fee-only wealth management firm Greenbaum and Orecchio has changed its name to Modera Wealth Management....

  • How We Chose the Winners

    James J. Green

    This is the fifth year that Investment Advisor and Prima Capital have selected the best separate accounts. Nathan Behan, Prima Capital's director of research, and...

  • Near the Top

    James J. Green

    In addition to the seven winners in six categories deemed worthy of being 2009 Separately Managed Accounts Awards winners, the Investment Advisor/Prima Capital awards committee...

  • Venture Populist: The Death of Equities?

    Jeff Joseph

    [This is the first installment of a new monthly feature in Investment Advisor. Longtime advisor, deal-maker, and alternative-investments observer Jeff Joseph will explore in the...

  • B/D Briefing: It's Time for More Clients

    James J. Green

    "Great marketing," says Ruth Papazian, "is about being ahead of the trend in figuring out not only where the market is going, but where advisors...

  • B/D Briefing: News & Products

    Staff Writer

    FINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...

  • Dealing With the Downturn: In Her Own Words

    Bob Keane

    Debra Brede does all the investment selection for her clients' portfolios. Here's how she describes the adjustments she's made over the last few months: "I've seen...

  • Changes

    Staff Writer

    ? On March 2 Raymond James Financial named Paul Reilly as president effective May 1, and announced that a year after that date Reilly will...

  • Values Advisor

    Mike Patton

    I am now in my 24th month of independence. As you read my account of this journey, I recognize that some of you are already...

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