Investment Advisor-January 2012

Issue Gallery ›

  • Have Your Cake and Eat It Too

    Marlene Y. Satter

    The variable annuity (VA) party has returned to the dance floor, where some companies step forward as others step back.

  • Rising Tides

    Michael Branham

    As with the rest of the country, the financial planning profession is graying, and the entrance of 20- and 30-something young professionals is causing a substantial shift in the makeup of the work force.

  • The Advisor's Advocate

    John Sullivan

    The beginning of a new year is always a good time to catch up with Dale Brown, president and CEO of the Financial Services Institute.

  • Choosing a Cloud-Based Platform

    Stuart DePina

    All the buzz about cloud computing has many financial advisors perking up their ears and wondering how cloud computing can benefit them.

  • Behavioral Economics: Your Own Worst Enemy

    John Sullivan

    Emotional investing, performance chasing and any other term we might use to describe investors penchant for harming themselves isnt a newor particularly insightfulconcept on its face.

  • What’s in a Plan?

    Bob Clark

    In our view, transitioning control and management of [advisory] firms from founding owners to a new generation will prove to be the single most challenging issue for advisory firms over the coming decade.

  • Frank Not Acting Like Lame Duck; No Fan of SRO Bill

    Melanie Waddell

    Rep. Barney Frank, the straight-talking Massachusetts Democrat who serves as ranking member on the House Financial Services Committee, announced in late November that he wont seek re-election and plans to retire from Congress at the end of 2012.

  • New Year, New Fiduciary Rule?

    Melanie Waddell

    While SEC Chairman Mary Schapiro said in mid-December comments first reported on Bloomberg that the agency would issue a proposed fiduciary rule this year, she also stated in the Bloomberg interview that a fiduciary rule proposal will be business model neutral and allow brokers working with retail investors to sell...

  • Six Mistakes Most Managers Make

    Angie Herbers

    A big part of my motivation to create the P4 principles that were covered in the November 2011 issue of Investment Advisor (Let Go to Grow) was watching my owner/advisor clients make the same employee mistakes over and over, never questioning their methods and greatly diminishing the success of their...

  • Sounding the Alarm

    Eliza De Pardo, Dan Inveen

    Lately an advisor can rarely open a trade publication without coming across at least one article focusing on succession planning.

  • Decade Horribilis

    Savita Iyer-Ahrestani

    Even veteran investment professionals, those who have been in the business for decades, are not shy to say that the 20012011 period was probably the worst time they have ever been through.

  • Occupy Main Street

    Mark Tibergien

    Every business impacts five constituencies: its clients, stakeholders, vendors, employees and community.

  • Get Real

    Olivia Mellan

    Hes silver-haired and distinguished. Shes cute and toned.

  • The Large Trader Rule

    Thomas D. Giachetti

    Just when you thought there couldnt be any more forms to complete, we have yet another one from our friends at the SECthe new Form 13H.

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