Investment Advisor-February 2015

Issue Gallery ›

  • Don’t Be Complacent About Compliance

    Thomas D. Giachetti

    This year is the second full year of a new, aggressive SEC regulatory regime. Has the majority of the advisory community taken heed? Unfortunately not.

  • A Tad Less Traditional

    Olivia Mellan

    The credentials following Joshua Hatfield Charles name (CFP, ChFC, CLU, ADPA, CEP, CLTC) include the acronym for Accredited Domestic Partnership Advisor, testifying to the Rockville, Maryland, planner's focus on serving the lesbian, gay, bisexual and transgendered community.

  • Should I Hire a New or Experienced Planner?

    Caleb Brown

    As financial planning firms grow, eventually they need to hire a new planner. The question firm owners face is this: hire someone new to the industry, or hire an advisor who's more experienced?

  • A Window-Dressing-Free Zone

    Noah Hamman

    Advisors and investors alike are advocates of transparency in ETFs for the obvious reason of efficient trading.

  • What Does It Mean to Be an American?

    Savita Iyer-Ahrestani

    Ike (pronounced Eekay) Uzondu, the protagonist of novelist Okey Ndibe's 2014 book Foreign Gods, Inc., wants desperately to be American.

  • Strategizing Like a Statesman

    Eliza De Pardo, Dan Inveen

    It's not that often that the private sector turns to the political arena for inspiration. But there's one remarkable political skill that businesses should note.

  • Rainbow Warriors: Working With LGBT Clients

    Olivia Mellan, Sherry Christie

    Investment Advisors February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.

  • Global Clients Need Global Advisors

    Danielle Andrus

    Taxes, culture, time zonesadvising a client a continent away, whether theyre there permanently or temporarily, is challenging.

  • A Simple Solution: Let's Call an Advisor an Adviser

    Bob Clark

    Over the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's no less stringent than the 1940 Act.

  • After Obama Address, Battle Lines Are Drawn in Congress

    Melanie Waddell

    Industry trade groups and lawmakers were quick to weigh in with praise and criticism of issues raised in President Obama's mid-January State of the Union address, namely cybersecurity, the Dodd-Frank financial reform law, taxes and entitlement reform.

  • Key Congressional Committees Get New Leaders

    Melanie Waddell

    The start of the new GOP-controlled Congress brings with it new faces to key congressional committees that hold sway over a variety of issues impacting advisors.

  • Is a ‘Presence Exam’ in Your Future, RIA?


    SEC exam chief Andrew Bowden said at a January hedge fund conference in New York that the agency's Office of Compliance Inspections and Examinations will use the presence exams that it used to audit newly registered private fund advisors on never-examined advisors in 2015.

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