Investment Advisor-January 2011

Issue Gallery ›

  • Right on Target

    John Sullivan

    The sunny view from Scott Wolles high-rise office in downtown Atlanta is an aptif somewhat obviousmetaphor for his view of the retirement fund space as a whole, and Invescos place in it.

  • New Year Will Likely Include New Tax Scheme

    Melanie Waddell

    At press time in mid-December, all odds were in favor of both the House and Senate passing the Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010.

  • For Real Estate Investors, Growth Is Overseas

    Vaughan Scully

    Since the financial crisis erupted in 2008, the resulting wave of loan foreclosures and the plunge in housing prices served to dim investor interest in real estate.

  • Asset Allocation: January 2011

    Editorial Staff

    In 2011, business leaders, policymakers, and investors will play important roles in shaping the investing environment.

  • The Good, The Bad and Reg D

    Jeff Joseph

    The availability of risk capital for early-stage ventures has proven itself to be remarkably resilient.

  • Keeping Political Contributions Compliant

    Thomas D. Giachetti

    I recently sat down with my partner, Paul Lieberman, who has considerable expertise on the new Advisors Act Rule 206(4)-5 regarding political contributions by investment advisors.

  • Hold That Hyperbole!

    James J. Green

    In the journalism dodge, we like to say we are writing the first draft of history.

  • Sitting Tight

    Marlene Y. Satter

    The end of 2010 was welcome to broker-dealers and recruiters.

  • Eat the Rich

    John Sullivan

    I shouldnt have to say this, but I will: Rich people, by definition, are not evil.

  • IRS Issues Guidance on In-Plan Roth Rollovers

    Melanie Waddell

    In late November, the law firm Sutherland Asbill & Brennan alerted us to the following: The IRS issued Notice 2010-84, providing guidance regarding in-plan Roth rollovers.

  • The New School

    Megan Bader

    I need a job: simple problem. No simple solution, I’ve been surprised to find.

  • Revolution and Reform

    Savita Iyer-Ahrestani

    For weeks, news stories about strikes and protests in France over President Nicolas Sarkozy’s unwavering decision to change the country’s pension system dominated the headlines.

  • The Day You Call It A Day

    Mark Tibergien

    The majority of advisors who wish to retire in three years are no more prepared for their exit from the business than those who plan to retire in 10 years.…

  • FINRA Jockeys for SRO Spot as SEC Report to Congress Nears

    Melanie Waddell

    As the Jan. 21 deadline approaches for the Securities and Exchange Commission (SEC) to deliver its report to Congress, the Financial Industry Regulatory Authority (FINRA) is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.

  • Better Advising Through Technology

    Bob Clark

    When I give speeches these days, one of the things I like to talk about is how technology has driven independent financial advice.

  • There’s An App For That

    Marlene Y. Satter

    If you’ve had a client meeting interrupted by the insistence of a smart phone, you know how ubiquitous they are and how intrusive they can be.

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