Investment Advisor-August 2011

Issue Gallery ›

  • Dodd-Frank—One Year Later

    Melanie Waddell

    With the recent one-year anniversary of the Dodd-Frank Act on July 21, members of Congress as well as industry officials have been reflecting on the law’s effects—for good or ill.

  • ‘Selling’ Yourself With New Clients

    Olivia Mellan

    Anybody following the latest politico-celebrity-insider trading scandals via Twitter, WikiLeaks or Facebook might well assume that everyone in a position of authority has feet of clay.

  • Replicate Hedge Funds With ETFs

    Joyce Hanson

    The capital markets abhor a vacuum and as exchange-traded funds grow more popular, their uses keep multiplying to fill every space that their creators and investors can identify.

  • The Perils of Financial Geography

    Steve Weydert, CFP, MS

    As an industry, we are blessed with an abundance of creative home office types who cleverly apply mathematics to convince even sophisticated advisors that they have somehow managed to squeeze more than 100 cents out of a dollar.

  • Microsite, Macro Goals

    Marlene Y. Satter

    Planners know the needs of same-sex couples are quite different from those of opposite-sex couples—in execution, although not in substance.

  • Catching up with… Scott Colyer

    John Sullivan

    If you’re in the decidedly unglamorous, but wholly necessary fixed income business, setting up shop in Monument, Colo., serves as an effective (and breathtaking) counterbalance.

  • Acquiring Minds

    Dan Skiles

    Recently there have been a number of mergers and acquisitions among technology companies that are focused on serving the needs of advisors.

  • Doing It Right

    Bob Clark

    David Grau’s been a friend of mine since 2001, when I worked with him and his newly formed FP Transitions for a few years to brand their expertise in helping independent advisors realize the value in their practices.

  • CRM: An Untapped Engine for Growth

    Neesha Hathi

    While the vast majority of advisors have implemented some form of client relationship management (CRM) software in their practices, most of them continue to overlook what may be CRM’s biggest benefit to an RIA business: the ability to fuel and support growth.

  • Marketing Reboot

    John Sullivan

    "Let me tell you what happened at lunch today," Mark Smith says matter-of-factly when asked about marketing in the new era.

  • Revisiting Reg D

    Jeff Joseph

    Our regular readers do a great job of ensuring I never am at a loss for timely column ideas.

  • E&O Errors

    Thomas D. Giachetti

    As I sit on my return flight to the United States from Italy, it saddens me to report that I was not successful in becoming the securities commissioner of Positano or Venice, the Italians insisting that no such position exists.

  • Forewarned Is Forearmed

    Angie Herbers

    Younger advisors, and those who look younger, should be prepared to respond smartly to instances of discrimination.

  • It’s Not About You

    Mark Tibergien

    I recently overheard an advisor bemoaning the difficulty of taking his firm to the next level.

  • Uncommon Bonds

    Savita Iyer-Ahrestani

    Its only natural, says Scott Colyer, CEO and CIO of Advisors Asset Management, that U.S. investors have focused their international investing horizons on equities, since equities have dominated the investment universe and continue to hog the lions share of domestic investment portfolios.

  • Few Buyers for Exiting Broker-Dealers

    Janet Levaux

    While rumors persist about possible suitors for Securities America, Morgan Keegan and other broker-dealers on the market, experts say the pool of buyers has shrunk dramatically over the past few years.

  • Making the Case for Equity REITs

    Philip Martin

    We believe equity REITs should be part of a long-term investment strategy based on diversification, yield, inflation protection, improving fundamentals and strong corporate governance.

  • Equal Time

    James J. Green

    In the news section of this month’s issue, you’ll see the listing of AdvisorOne’s 50 Top Women in Wealth.

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