Investment Advisor-August 2009

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  • First Things First

    Mark Tibergien

    Finding workflow solutions specific to your firm can be made easier once you define the actual business you are in and the client service experience...

  • Changes

    Staff Writer

    ? Ram Subramaniam has been named managing director and head of products at TD Ameritrade. In his new position, Subramaniam will report to Peter Sidebottom,...

  • Now and Then

    James J. Green

    When it comes to how advisory firms are dealing with the continuing economic uncertainty, there's a clear divide between larger firms and smaller firms. Tom...

  • The Palaveev Manifesto

    Philip Palaveev

    Following is an excerpt from an article by Philip Palaveev, president of Fusion Advisor Network, formerly of Moss Adams, and a regular contributor to Investment...

  • Schwab Cuts Costs for Its Advisors

    James J. Green

    The evidence is clear that since the markets and economic crisis began advisors have been working longer hours, in particular spending more time with clients,...

  • Find the Fit First

    Angie Herbers

    Bill Morrissey has developed a very tightly focused niche. But rather than doctors, business executives or sports stars, Sound Financial Planning will take anyone as...

  • Camera-Shy CEO

    James J. Green

    Elliot Weissbluth is a man on a mission. As CEO of HighTower advisors, he is the public face and voice of a firm with a...

  • Group Think

    Adam Moseley, Wade Spencer

    When it comes to implementing new technology, the best firms involve staff members early and often. Take West Des Moines, Iowa-based Foster Group's decision matrix, for...

  • Upgrades

    Staff Writer

    Following its integration with Security Global Investors, Rydex Investments is now branded to advisors as Rydex|SGI. In June, Richard Goldman, CEO of SGI, said the...

  • The ETF Advisor: Those Outperforming Small Caps

    Vaughan Scully

    Small-cap stocks are a thorny problem for investors. With thousands of different issues and little analytical coverage available, it is a difficult and time-consuming task...

  • Reviewing the Situation

    Tere D'amato, Tere D'amato

    Here are the steps you can take to prepare your clients for a review of their insurance needs: o Set expectations by sending an agenda of...

  • More Annuities Used in Income Portfolios

    Melanie Waddell

    At a time when the market downturn has caused some advisors to question their ability to construct adequate retirement income portfolios, advisors are increasingly turning...

  • Millionaires Say 2008 Not So Bad

    James J. Green

    The high-net-worth feel pretty good about their advisors, reporting that they not only helped limit their investment losses in 2008, but by communicating with them...

  • Side Effects

    Marlene Y. Satter

    Advisors might want to take a look at clients' term life insurance coverage. It's been easy over the last several years to seek out new...

  • Soapbox: Ducking (Swanning?) for Cover

    Steve Weydert, CFP, MS

    It's one thing for clients to be unhappy about losing money and quite another to be unhappy about bad advice. No one enjoys losing money...

  • Group Think

    Staff Writer

    ? The Securities and Exchange Commission voted unanimously June 24 to propose rule amendments to require money market funds to maintain a portion of their...

  • Insurance Update: Active Management

    Marlene Y. Satter

    The life insurance industry, whose standing Fitch ratings dropped last fall from stable to negative, has been shown in a new Fitch report to have...

  • Asset Allocation

    Bob Keane

    Behind the Numbers, with Mark Balasa Although risk remains, Balasa says that he and his colleagues in the Alpha Group have "a growing optimism around some...

  • A New Kind of Taxpayer Advocacy

    James J. Green

    As a multitude of groups (see lead news story)--are making their voices heard in Washington, a smaller organization is just getting started in its advocacy...

  • Making Lemonade

    Olivia Mellan

    Laura Hearn is a private client advisor for RMB Capital Management in Chicago, which manages about $1.2 billion in assets for wealthy families around the...

  • Expert's Corner: Time to Talk Insurance

    Tere D'amato, Tere D'amato

    As if you don't have enough on your plate--reevaluating client risk tolerance, rebalancing portfolios, developing plans to bring goals within reach--I am about to add...

  • The Green Advisor: Cleaner Air and Cash

    Bob Keane

    Although the climate bill that passed the House of Representatives in June went through many changes on its way to securing a majority of support,...

  • B/D News

    Staff Writer

    Ameriprise Financial Services has agreed to pay the SEC $17.3 million to settle an enforcement action that the Commission brought against the Minneapolis-based broker/dealer. The...

  • Free

    James J. Green

    It's the fact that the firm is multi-custodian and multi-clearing. It's the fact that its backers include some of the smartest people in the business....

  • Clark at Large: Something About Mary

    Bob Clark, Bob Clark

    The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st...

  • New Day, New Tools

    Adam Moseley, Wade Spencer

    With budgets tighter than ever these days, many firms have found it difficult to pursue new technology initiatives and make new purchases. As a result,...

  • Formulas For Success: The Missing Link

    Mark Tibergien

    Most operational hazards arise from the ineffective management of human capital--yet far too many advisory firms view "operations" in the restricted context of software, hardware,...

  • Danger & Opportunity: Manual Labor

    Angie Herbers

    Even in these most challenging of times, advisors can prosper by focusing on maximizing their unique strengths, rather than trying to fit into some predetermined...

  • Retirement News

    Melanie Waddell

    The House Education and Labor Committee approved in June the 401(k) Fair Disclosure and Pension Security Act of 2009 (HR 2989); two other bills, the...

  • Editor's Note: Change Partners

    James J. Green

    "These great Wall Street firms survived the Depression," pointed out Tom Bradley, "yet they couldn't survive this. Maybe it's because back then they were partnerships."...

  • Valuation Myths

    Lewis Schiff

    Since valuation is part science and part art, it's easy to fall into misconceptions of the valuation process. Two valuation experts recently identified common myths...

  • Wall Street Theses

    James J. Green

    Listening to HighTower advisors speak about Wall Street is like listening to a passel of Martin Luthers speaking about the corrupt Church of the Middle...

  • Healthcare Reform Steamroller Advances

    Melanie Waddell

    As Congress continues to forge ahead with healthcare reform, House Democrats as well as the Senate Health, Education, Labor, and Pension Committee (HELP) introduced in...

  • Tweaking Your Money Personality

    Olivia Mellan

    The financial cataclysm has shaken entrenched attitudes toward money, too. Many spenders are spending less and even learning the virtues of saving. Some hoarders who...

  • Numerology: Turnaround for Hedge Funds

    James J. Green

    Following the worst year ever for hedge fund performance, so far 2009 is shaping up as quite a good one. According to Hennessee Group, which...

  • Alternative Energy Twisting in the Wind

    Bob Keane

    Last July in this column ("Energy Is in the Air"), I wrote enthusiastically about T. Boone Pickens's plans to build the world's largest wind farm...

  • How Smart Bosses Are Making Lemonade

    Olivia Mellan

    Some companies are searching hard for alternatives to downsizing. A May 2009 article in Ode magazine ("How to cut costs and keep your employees") recognizes...

  • Technology by the Numbers

    Adam Moseley, Wade Spencer

    Even in the challenging market and economic environment, independent advisory firms are looking for opportunities to position themselves for long-term growth by investing strategically in...

  • Ask These Questions

    Adam Moseley, Wade Spencer

    Selecting a technology vendor is a key decision in the buying process. Make sure you talk to a potential vendor's customers--ideally ones you've found on...

  • Fiduciary to the Forefront

    Bob Keane

    To even the most casual observer, the need for a fiduciary standard that assures that any professional who provides financial and investment advice does so...

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