Investment Advisor-February 2013

Issue Gallery ›

  • How to Measure Your Firm’s Overall Efficiency

    Dan Skiles

    Advisors are very good at conducting this type of work for their clients. They build a financial plan, then measure on a consistent basis how the plan is doing. How well do you employ the same process for measuring the efficiency of your firm?

  • Don’t Fall Off a Compliance Cliff in 2013

    Les Abromovitz

    The U.S. avoided one fiscal cliff, but without proper books and records, state- and SEC-registered investment advisors can teeter on a cliff of their own making. One advisory firm's cautionary tale.

  • Equity Income ETFs: Incognito Sector Funds?

    Ryan Issakainen

    Over the past few years, as retail investors have fled en masse from equity funds to bond funds, dividend strategies have been one of the few categories of equity ETFs to consistently attract net inflows.

  • The End of History?

    James J. Green

    Heres a recent piece of research that has direct application to how you work with clients.

  • Emboldened Borzi Is Back

    Melanie Waddell

    Bolstered by another four years in her position under a re-elected Obama administration, Phyllis Borzi is adamant that EBSAs fiduciary rule will see the light of day this year.

  • Why Monetary Easing Won’t Help Japan

    Virginie Maisonneuve

    Japans new leader, Shinzo Abe, will take the helm of a country in recession, with business confidence near three-month lows and the highest debt-to-GDP ratio in the OECD.

  • The 2013 Compliance To-Do List

    Thomas D. Giachetti

    Lets make 2013 the year that advisory firms finally take internal control of their compliance obligations, rather than relying on unrelated parties to do so.

  • Storm Warning

    Marlene Y. Satter

    Just a few days before Hurricane Sandy barreled up the East Coast, German reinsurance giant Munich Re issued a new report titled Severe Weather in North America revealing that weather disasters have hit North America far harder than they have the rest of the world.

  • Southern Charm in the Small-Cap Space

    John Sullivan

    Dont let the easygoing, good ol boy charm fool you. Raise the topic of investment management, particularly in small caps, and Mark Travis' aw-shucks attitude quickly fades.

  • Fiscal Cliff Deal: ‘A Missed Opportunity’

    Melanie Waddell

    While the fiscal cliff deal that was approved by the House and Senate on Jan. 1 was good news in that it sent the markets soaring and includes some changes that make financial planning easier, critics of the deal say that it fails to remedy the fiscal challenges that lie...

  • Talking ‘Bout My Generation

    Bob Clark

    Some 20 years ago, financial editor and writer Joe Nocera (now an op-ed columnist for The New York Times) explained to a group of us editors at Worth Magazine why our baby boom generation had gotten a bad rap for being such profligate spenders: We grew up during the 1970s,...

  • The Human Capital Dilemma

    Mark Tibergien

    Only 22% of the advisor population is under the age of 40, and with the average age of advisors in their 50s, the business is suffering from a growing cultural gap between advisors and clients, as well as a significant age gap between advisors and others in the business.

  • Growing Your Own Successor

    Angie Herbers

    Owner/advisors need to accept an essential element of their jobs: teaching young advisors to be great advisors, then teaching them to be great owners.

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