Investment Advisor-January 2009

Issue Gallery ›

  • Something for Everyone

    Bob Keane

    Many advisors like to say they've spent a lifetime in the business, but for Robert Lutts it's true. He's spent the last 25 of his...

  • Passing It Along

    Kara P. Stapleton

    Despite the market maelstrom that has slashed the value of portfolios left and right, there is still plenty of wealth that is on the brink...

  • In Troubled Times, Give 'Em Hope

    James J. Green

    I have been in your shoes. Everyone is telling you to be positive, to take the initiative and call your clients--but that's the last thing...

  • Green Giving

    Kara P. Stapleton

    "We at Alger have been expanding our charitable activities in both participation and donations for about seven years now, trying to focus on giving back...

  • Marketing in a Downturn

    Joni Youngwirth

    If you are retaining 100% of your clients these days, you have a compelling story to tell. Consider that The Wall Street Journal reported on...

  • B/D Briefings News & Products

    Kara P. Stapleton

    On December 1, 2008, Securian Financial Group's acquisition of Capital Financial Group, Inc. and its broker/dealer affiliate, H. Beck, Inc., closed. The acquisition, announced in...

  • Fixing Fiduciary Failings

    Elizabeth D. Festa

    The Retirement Advisor Profile The advisor: Blaine Aiken The firm: fi360 The Web site: www.fi360.com The approach: Promoting the fiduciary standard worldwide, and educating companies and individuals as to...

  • Retirement Planning News & Products

    Kara P. Stapleton

    A recent analysis by Hewitt Associates of 2.7 million U.S. workers found that the average 401(k) plan balance has dropped 14% in 2008 to $68,000,...

  • Changes

    Kara P. Stapleton

    ? The FPA named Tom Potts as president-elect for 2009. In addition, six new members were elected to the FPA's board--Michael Branham, Diana DeCharles, Paula...

  • Now Is a Good Time to

    Joni Youngwirth

    These are difficult times for clients and advisors alike, but that doesn't mean you shouldn't be taking some specific practice management actions in response. Your Staff....

  • New Year, Same Issues?

    Kara P. Stapleton

    It's no secret that the securities and investments industry in 2009 will be shaped by the ramifications of 2008's events. According to a new series...

  • More Regulation Post-Madoff?

    Jeff Joseph

    The only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...

  • Extra Credit

    Marlene Y. Satter

    The Big Three--Ford, GM, and Chrysler--had not yet even taken their corporate jets to Washington to beg Congress for a bailout when a bit of...

  • Creditworthy

    Marlene Y. Satter

    Peter Seneca, a partner at Securitas Global Risk Solutions LLC in Berwyn, Pennsylvania, says that credit insurance, in addition to protecting the receivables of a...

  • Focus Expands

    James J. Green

    Focus Financial Partners, the buyer of advisory firms led by CEO Rudy Adolf, has entered the business of providing consulting help to brokers looking to...

  • Upgrades

    Kara P. Stapleton

    Fidelity Institutional Wealth Services said December 9 that 25 of its affiliated RIAs are using its WealthCentral platform, the Web-based, integrated wealth management platform that...

  • Focus on Financials

    Beth Piskora

    No doubt about it: 2008 was a bad year for financial services stocks. The S&P 500 financial services index registered a 60% downturn through December...

  • Got Game?

    Joni Youngwirth

    John Augustine of Augustine Financial in Brookfield, Wisconsin, has been in the industry for 10 years. He is deeply passionate about helping his clients grow,...

  • First Aid Kit

    Angie Herbers

    When I started my consulting firm seven years ago, I went through hundreds of different scenarios of what could happen to advisory firms in the...

  • Obama's Retirement Agenda

    Melanie Waddell

    Since the time is drawing nigh that the Obama Administration will be officially christened, it's important to refresh our memories about how the new Administration...

  • Watch Out. Reform Is on the Way

    Melanie Waddell

    As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms...

  • Green Investing in Trying Times

    Bob Keane

    I'm sure that every generation of Americans has faced a crisis that gave them good reason to embrace Thomas Paine's revolutionary quotation of 1776. In...

  • The Recession Blues

    Mark Tibergien

    Recessions give me depressions. Those who run financial services firms know what I mean. We feel high anxiety for our employees, as we decide who...

  • Understanding Overspending

    Olivia Mellan

    America is in many ways a young nation. Born and raised in a pioneer mentality of endless expansion, we have little experience with the other...

  • What to Do Now?

    James J. Green

    When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the...

  • More Pain, Then Pleasure (Maybe)

    Kara P. Stapleton

    Hindsight may always be 20/20, but in these market and economic times, the cognoscenti seem to agree that even perfect vision and an understanding of...

  • Compassion Fatigue

    Bob Clark, Bob Clark

    I don't watch much TV these days, but one of my favorite shows is "Scrubs," perhaps partly because of its hospital setting, in my opinion,...

  • New Tax Lot Accounting

    Melanie Waddell

    Getting on top of the tax lot requirements put forth by the Internal Revenue Service (IRS), which was rolled into the $700 billion bailout legislation,...

  • First Responder

    James J. Green

    The veteran advisor from New York was clearly distraught. It was also clear that he wasn't often distraught when it came to matters financial. He...

  • What to Do with the Family Business

    Lewis Schiff

    Creating The right recipe for a successful transfer of a family business to a child, requires several special ingredients. The child needs to be well...

  • Asset Allocation

    Kara P. Stapleton

    "The key to 2009 is whether an Obama stimulus package can ignite consumer rebound," says Kelly, the chief market strategist for JPMorgan Funds, adding that...

  • Group Think

    Kara P. Stapleton

    ? Three of the largest organizations of financial planners--the CFP Board, the FPA, and NAPFA--announced that they are holding a series of exploratory meetings to...

ThinkAdvisor Newsletters

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2019 ALM Media Properties, LLC. All Rights Reserved.