Investment Advisor-April 2015

Issue Gallery ›

  • Another Merit Badge for Liquid Alternatives?

    Jon Sundt

    When the curtain came down on 2014, liquid alternative funds surprised a lot of people by outperforming hedge funds, their more experienced, more glamorous cousins.

  • The Password Is Dead

    Danielle Andrus

    No company or consumer is safe from cyberattacks, and financial services firms represent a huge opportunity for hackers.

  • Foot Pain

    James J. Green

    The fault, dear Brutus, is not in our stars, but in ourselves.

  • The Flatter World of Financial Services

    Noah Hamman

    During the previous decade we have often heard allusions to the world getting flatter, as a reference to advances in technology shortening the distancevirtuallybetween people and cities.

  • 5 Protection Questions for Older Clients

    Olivia Mellan

    Since fiduciary duty and regulatory rules require advisors to protect client privacy, you can't simply contact the kids to report a parent's mental slide. However, ignoring suspicious symptoms may lead to later charges of malfeasance by a client's family.

  • The Advisor's Role in Preventing Abuse

    Olivia Mellan

    Noting in a jointly published 2008 report that securities professionals are on the front lines to spot possible financial abuse of an older client, NASAA, FINRA and the SEC suggested watching for these red flags

  • Taxing Times

    Editorial Staff

    Come April, if not earlier, taxes occupy a huge space in your clients brains. If youre providing tax advice, taxes are taking up valuable real estate in your brain, too, if they haven't taken over entirely.

  • Protecting Grandma From Elder Abuse

    Olivia Mellan

    Imagine a broker driving an 83-year-old widow with Alzheimer's to local banks so that she can withdraw over $1 million from CDs.

  • Fidelity Merges Clearing and Custody Arms; Launches Tech Unit

    James J. Green

    In a move five years in the making, Fidelity is combining its RIA custodian and broker-dealer clearing units, it announced in March. It has also created a new technology operation, Fidelity Wealth Technologies, that will include the recently acquired eMoney Advisor.

  • What Will Be Your Legacy?

    Mark Tibergien

    A long-ago boss often reminded us that our business obligations extended to five constituencies: our clients, our employees, our community, our business partners (vendors and suppliers) and our industry.

  • In a Tech Merger, Don't Panic

    Dan Skiles

    The first quarter of 2015 was busy for technology companies that serve advisors, as many were acquired or sold a significant portion of their company.

  • Lining Washington's Pockets to the Tune of $1.4 Billion

    Melanie Waddell

    Wall Street banks and other financial services groups poured large sums of money into Washington during the 20132014 campaign cycle, spending more than $1.4 billion to influence decision making in the nation's capital.

  • Technology and Wealth: The New Wealth Manager

    James J. Green

    When Charles Schwab introduced the retail version of its robo-advice offering in early March, Executive Vice President Naureen Hassan said the company had received 28,000 inquiries on the offering, Schwab Intelligent Portfolios, since it was announced last fall.

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