Investment Advisor-January 2010

Issue Gallery ›

  • Advisor Exceptionalism

    Eliza De Pardo

    The stress testing endured by advisory firms over the last 18 months yielded an uncomfortable, and at times overwhelming, level of pressure for advisory firm...

  • The Power of Empathy

    Lewis Schiff

    The fraud perpetrated by Bernie Madoff and abetted by Ezra Merkin, a money manager and financier, could succeed in part because the "weapons of influence"...

  • Changes

    Staff Writer

    ? Vanguard President and CEO F. William McNabb, III will succeed John J. Brennan as Chairman of the $1.3 trillion investment management company and the...

  • How a Firm Works Best

    Angie Herbers

    In my December 2008 column, I talked about how to create real-world job descriptions based on the various tasks that are performed in your firm,...

  • GroupThink

    Staff Writer

    ?The Investment Management Consultants Association (IMCA) has released its 2009 membership profile, produced in collaboration with Cerulli Associates. One notable change is that an increase...

  • Who Owns Whom?

    Olivia Mellan

    Eric Park, an advisor with Steamboat Financial Group in Washington, Missouri, reminded me in a recent e-mail that as we go through life, we accumulate...

  • It's Just Business

    Bob Keane

    When Scott Hanson talks about Hanson McClain's new venture to serve the middle class, he puts it into a business perspective, and explains why he...

  • Catching Up With...Mike Durbin

    Bob Keane

    There's no doubt that the names of some of the largest firms on Wall Street no longer have the cachet with the investing public that...

  • Retirement News

    Melanie Waddell

    SEC Chairman Mary Schapiro said in an early December speech that the Commission will present early next year its recommendations on target date funds. Investors,...

  • About the Firm

    Bob Keane

    Hanson McClain 3620 Fair Oaks Boulevard Suite 300 Sacramento, California 95864 Phone: 916.979.4077 Fax: 916.483.9661 E-mail: info@hansonmcclain.com Web site: www.moneymatters.com Scott Hanson, CFP, CFS, ChFC Senior partner, founding principal Pat McClain, ChFC Senior partner, founding principal Year...

  • Estate Tax Extended

    Staff Writer

    The House of Representatives passed on December 3 by a vote of 225-200 an estate tax bill, H.R. 4154, the Permanent Estate Tax Relief for...

  • The Power of Radio

    Bob Keane

    In the modern world just about every business has a Web site and uses e-mail. Hanson McClain is no different, but the firm also utilizes...

  • SEC Proposes Two-Year Stay on Rule 151A

    Melanie Waddell

    The Securities and Exchange Commission on December 8 agreed to a two-year delay of the effective date of Rule 151A, which would require that equity...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Mark Balasa For Mark Balasa and his colleagues in The Alpha Group the new year rolls in with a combination of positives...

  • Insurance Update: Dead to Rights

    Marlene Y. Satter

    If clients want to get a settlement for their life insurance policies, or invest in securitization of life insurance settlements, what should you tell them? Jeff...

  • The ETF Advisor: China ETFs

    Vaughan Scully

    It's rare that a consensus forms across a wide cross-section of investors. One market view, however, seems indisputable for bulls and bears alike: China will...

  • BAIS Moves Reps to Merrill

    James J. Green

    In a surprise move, Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch on October 23, 2009, and then requested...

  • Cover Story: Reinvention Time

    Bob Keane

    The formula for success offered to investment advisors by a wide range of consultants and experts is to find a small group of high-net-worth, or...

  • Formulas for Success: Ten Things to Do Now

    Mark Tibergien

    Each year I identify 10 Big Things that advisors should consider as they develop their long- and short-range assumptions for strategic planning purposes. In the...

  • Congress Reaches Year-End Goal

    Melanie Waddell

    Congress made a mad dash at year-end 2009 to achieve two of its top goals: passing healthcare and financial services reform legislation. As we enter...

  • The Fast Track: Where Credit Is Due

    Angie Herbers

    It's been quite a year, but it looks like the worst may be over: AUMs are back up to at least healthy levels, you've kept...

  • Expert's Corner: Acing Financial Aid Planning

    Tere D'amato, Tere D'amato

    Financial aid can make the difference between attending college or not for hundreds of thousands of students. Given these high stakes, it's no wonder that...

  • The Affluentialist: The Next Case of Madoff Disease

    Lewis Schiff

    Even shrewd clients and professionals are susceptible to Madoff disease--that seemingly inexplicable investment flu that stuns its victims into becoming non-questioning believers despite the warning...

  • Delivering Diversification

    James Damschroder

    Despite the widespread acceptance of diversification as an investment benefit, the fact remains that there's never existed a genuine way to actually quantify either its...

  • Editor's Note: The Small Print

    James J. Green

    You're no doubt familiar with the not-so-funny joke that goes like this: You never want to see sausage, or legislation, being made. As I write...

  • Upgrades

    Staff Writer

    Fidelity said it had helped a record number of brokers 185 individuals and teams--transition to some form of independence through November 2009 ...Research Affiliates, whose founder...

  • Too Good to Be True

    Marlene Y. Satter

    Stuart Egrin, director of regulatory affairs at Invescor, which provides life settlement back office and brokerage services to B/Ds and insurance companies, says that advisors...

  • B/D Briefing: Alignment Time

    James J. Green

    In late September 2009, Patrick McEvoy changed jobs, moving from the presidency of Multi-Financial Securities, part of the ING broker/dealer network, to become president and...

  • Evaluating Financial Aid Consultants

    Tere D'amato, Tere D'amato

    There's nothing wrong with charging a fee for providing information and analysis, even if people could find the information on their own. We do it...

  • Soapbox: Your Best Resolution for Growth in 2010

    Steve Weydert, CFP, MS

    Here's an achievable New Year's resolution for advisors who want to build an affluent practice: revamp your marketing. Even as advisors worry about falling profits,...

  • Broker/Dealer News

    Staff Writer

    The Insured Retirement Institute, the variable annuity trade group formerly known as NAVA, praised on December 4 SEC Chairman Mary Schapiro's public call for a...

  • Ten for 2010

    Mark Tibergien

    Take these ten digestible steps this year to regain control of your practices and get back on the road to growth. 1. Assess pricing strategy 2. Determine...

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