Investment Advisor-April 2012

Issue Gallery ›

  • The Dangling Conversation

    Mark Tibergien

    Employees tend to view the amount they are paid as a statement about their value to the organization, rather than a reflection of the firms financial situation.

  • How to Pass an SEC Limited Scope Exam

    Thomas D. Giachetti

    If you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.

  • Andrew Rudd on RIAs and Retirement Income

    John Sullivan

    The always-charming Andrew Rudd of ASI Advisor Software has a knack for making complicated subjects easy to understand (he does have a Ph.D., after all).

  • Considering E-Signatures

    Dan Skiles

    Electronic signature technology (e-signature) has been around for a number of years.

  • All Eyes on PIMCO ETF Launch

    Joyce Hanson

    PIMCO launched its exchange-traded fund version of PIMCO Total Return in early March, and investors are closely watching to see how Bill Gross active management of the ETF fares.

  • The Good and Bad of Fiduciary Delay

    Steve Weydert, CFP, MS

    On Sept. 19, 2011, the Department of Labor (DOL) withdrew proposed regulations that would have updated and expanded the definition of advisors who are considered fiduciaries to a retirement plan.

  • No Substitutions

    Marlene Y. Satter

    In 2010, the insurance industry was the target of a lot of bad press regarding retained asset accounts (RAAs) that were provided to the beneficiaries of military service members killed in action.

  • Five Questions to End Unsolicited Deals

    Jeff Joseph

    Recently, I met with the principal of a multifamily office who for the past couple of years had begun making direct private venture investments in early-stage companies on behalf of his clients.

  • Six Long-Term Care Lessons

    Mathew Greenwald

    A recent survey by John Hancock provides insights on a key area that advisors should try to address more directly: the failure of most people to prepare for the financial risk associated with the need for long-term care.

  • A Friendly Face

    Angie Herbers

    Ive been writing a lot lately about practice management strategies derived from real-world experience that often contradict traditional business school theories, and Id like to continue that trend with some thoughts about a commonly held taboo: hiring friends.

  • Building a Talent Hothouse

    Dan Inveen, Eliza De Pardo

    With just two associate advisors available to replace every three lead advisors; creeping compensation costs for advisory positions; and woefully low levels of succession planning, the demand for top talent is outstripping supply.

  • Tech Eminence

    Chip Kispert, Marshall Levin, Peter Montoya

    As educational editor of the 2012 TechLeaders Conference on March 1921 in Irving, Texas, Beacon Strategies LLC is contributing to the conferences goal of developing thought leadership that can be shared by broker-dealers of all sizes.

  • India at the Crossroads

    Savita Iyer-Ahrestani

    Beyond the exoticism and mystique thats always been associated with India lies one of the greatest emerging market growth stories of recent times, one to which, until fairly recently, it seemed there could be no end.

  • Who Needs Ya, Baby?

    Bob Clark

    Recently, fi360 CEO Blaine Aikin wrote a column for InvestmentNews about the AICPAs Code of Professional Conduct.

  • How Are We Doing?

    Olivia Mellan

    All too often we think the advisory process is going really well, when in actuality the client doesnt feel heard or understood and is dissatisfied with the way things are proceeding.

  • EBSA Cracks Down on Retirement Plan Advisors

    Melanie Waddell

    Prominent retirement planning officials are warning advisors to make sure that the retirement plans they advise are compliant with Department of Labor rules, as the DOLs regulatory arm responsible for policing these plans is cracking down.

  • SIPC Fights SEC’s Stanford Suit

    Melanie Waddell

    One day after Allen Stanford was convicted on March 6 of operating a $7 billion Ponzi scheme, the CEO of the Securities Investor Protection Corp. (SIPC) told lawmakers that SIPC is not responsible for reimbursing Stanford investors for their losses.

  • 2012 SMA Managers of the Year: Calm, Cool and Confident

    John Sullivan

    The one thing seen among all of these winners? Dividend yield, says Gib Watson, president and CEO of Prima Capital, IA's longtime partner in choosing the annual Separately Managed Account Managers of the Year.

  • Advisors Weigh In On Client Advisory Boards

    Olivia Mellan

    A financial advisors group on LinkedIn.com recently had a lively discussion of client advisory boards, started by an advisor who asked for the opinions of colleagues who had established a board

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