Investment Advisor-February 2010

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  • Expert's Corner: Small, Yes, But Compliant

    Chester Wright

    Publicly embarrassed by a series of undetected frauds by investment firms, the Securities and Exchange Commission has sharpened its investigative and regulatory inspections. RIA firms...

  • Beware Green Investment Scams

    Bob Keane

    Green energy offers opportunities for new jobs and investments. Unfortunately, the green energy field has also attracted individuals with less than honorable intentions. On January 6,...

  • Asset Allocation

    Staff Writer

    EVERY JANUARY WE survey the members of our Asset Allocation panel and ask them to predict some of what advisors and their clients can expect...

  • Older and Online

    Lewis Schiff

    From November 2004 until November 2009, the number of people over 65 years old who actively used the Internet jumped by 55%, according to a...

  • Editor's Note: Migrant Musings in a New Age

    James J. Green

    Anniversaries, like this year in which Investment Advisor marks its 30th birthday, tend to make me introspective and retrospective. Throughout the year we will report...

  • Forgive Us Our Imperfections

    Olivia Mellan

    For a deeper understanding of how to move past lapses in progress toward a better self, I recommend these excellent books. On forgiveness: Radical Acceptance: Embracing...

  • Insurance Update: Along for the Rider

    Marlene Y. Satter

    If your clients are looking for limited disability coverage without taking on a whole new policy, they could look at life insurance. Life insurance policies these...

  • Broker/Dealer News

    Staff Writer

    The Municipal Securities Rulemaking Board (MSRB) has launched a Web site called Electronic Municipal Market Access (EMMA) www.emma.msrb.org, that provides free access to a powerful...

  • Soapbox: Here's What We Were Thinking

    Steve Weydert, CFP, MS

    The Financial Planning Coalition is glad to see Bob Clark's vociferous advocacy of a fiduciary standard of care for individuals who dispense financial planning advice...

  • Retirement Planning: Top Trends in Retirement

    Melanie Waddell

    Here's what's on the retirement planning horizon for 2010: a focus on longevity risk and new retirement savings vehicles--namely the auto IRA and DB(k)--for workers....

  • Upgrades

    Staff Writer

    TD Ameritrade Institutional says advisors have embraced the firm's Roadmap Program, an online set of tools created by Minneapolis-based ActiFi that enable RIA firms to...

  • Retirement News

    Melanie Waddell

    Kathryn Capage, Strategic Planning Director for the Retirement & Tax Advantages Products Division for AIM Investments, recently detailed in a Center for Due Diligence (CFDD)...

  • About the Advisor

    Bob Keane

    Bennett Marks Founder/President/CIO Marks Group Wealth Management 4350 Baker Road, Suite 245 Minnetonka, MN 55343 Phone: 952-582-6100 E-mail: ben.marks@marksgroup.com Web site: http://marksgroup.com/ Year firm founded: 2008 Number of advisors in firm: 4 (plus client...

  • Changes

    Staff Writer

    ? Chautauqua Capital Management, the Boulder, Colorado-based investment firm, has announced the appointment of John F. Lynch, formerly of Franklin Templeton Investments, as the firm's...

  • A Self-Defeating Mentality

    Angie Herbers

    When it comes to building a rational bonus plan for employees, the irrationality of performance-based plans became clear during the 2008-2009 markets and economic crisis....

  • So You Want to Have a Profession?

    Staff Writer

    Bob Clark not-so-humbly presents the following five standards--almost an oath!--that will clearly and unambiguously define a new profession of Independent Financial Advisors. Standard One: I have...

  • Schwab Keeps Up the Price Pressure

    James J. Green

    Schwab is cutting costs, again. Charles Schwab Corp. announced January 7 that it will begin charging a flat $8.95 per online trade of equities or...

  • The Effect of Dodd's Retirement

    Melanie Waddell

    Opinions vary as to what Senator Christopher Dodd's retirement, announced in January, will mean for financial services and healthcare reform. Knut Rostad, chairman of The...

  • The ETF Advisor: S&P 500 ETFs

    Vaughan Scully

    [Editor's Note: This is a longer version of the article which appeared in the print edition of Investment Advisor, Februrary 2010 and includes S&P rankings...

  • The Fast Track: Bonus Babies

    Angie Herbers

    If you're like most independent advisors, you probably discontinued your employee bonus program at the end of 2008, when you realized you were committed to...

  • Serving the Underserved (Millionaire)

    Bob Keane

    There was a time not too long ago when the big Wall Street brands, such as Lehman Brothers, Merrill Lynch, SmithBarney, and many other names...

  • Raising Your Game

    James J. Green

    What's the common characteristic that most successful advisors share? It's not their compensation model, or choice of custodian or broker/dealer, or even an entrepreneurial streak....

  • Formulas for Success: Howl at the Moon

    Mark Tibergien

    I've long been interested in how businesses outside of financial services make decisions and execute strategies. Keeping an outside perspective has helped me to think...

  • Clark at Large: Declaration of Independence

    Bob Clark, Bob Clark

    Last Fall, my old friend Bob Veres did a rather common thing, which yielded some uncommonly interesting results. Veres asked his newsletter readers to identify...

  • Broker/Dealer Briefing: New Leader for FSI

    Marlene Y. Satter

    We caught up with Mari Buechner, CCO and CEO of Coordinated Capital Securities, Inc., of Madison, Wisconsin, after her election as the new chair of...

  • Starting Early

    Bob Keane

    Ask a group of 10-year-olds what they want to do when they grow up and you're likely to get answers like, "Play in the NBA,"...

  • GroupThink

    Staff Writer

    ? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...

  • Securities Lawsuits Down

    Staff Writer

    The number of federal securities class action law suits filed in 2009 dropped sharply according to the recently released report, Securities Class Action Filings--2009: A...

  • Our Panel of Experts' Projections for 2010

    Staff Writer

    Every January, just after the turn of the New Year, Investment Advisor's editors pick the brains of our Asset Allocation panelists, asking for their projections...

  • What the Rankings Mean

    Vaughan Scully

    The ETF rankings provided in this article (Overweight, Marketweight, Underweight) are based on a proprietary S&P methodology that incorporates an assessment of the ETF's underlying...

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