Investment Advisor-July 2009

Issue Gallery ›

  • How Much Can You Save?

    Adam Moseley, Wade Spencer

    Everybody says that automating regularly conducted tasks can save an advisory firm money, but how much? For instance, Schwab Technology Consultants estimates that for every...

  • Retirement News

    Melanie Waddell

    A new study of target-date fund investments by the Employee Benefit Research Institute (EBRI) found that participants in 401(k) plans dominated by those with low...

  • Asset Allocation

    Bob Keane

    Behind the Numbers, with Gary Shilling That there have been some positive indicators of late is no indication that we're out of the woods. "We've had...

  • Crisis Hits Middle-Class Retirees Hard

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    In the last six months of 2008, the financial future of retirees and pre-retirees took a huge blow, according to a recent report released by...

  • Tech Evangelist

    Adam Moseley, Wade Spencer

    One of the most effective ways to get staff to use the technology that a firm already possesses to its full advantage is to appoint...

  • More From the Silver Lining Department

    James J. Green

    Here's another silver lining of sorts that's come out of the recession--at least for advisors and maybe even for the growing ranks of the unemployed:...

  • Watch Out

    Lewis Schiff

    Following are some common traps in determining intellectual property rights, from Sharon K. Sandeen's Intellectual Property Deskbook for the Business Lawyer (American Bar Association, 2008). 1....

  • Soapbox: Euthanize Wealth Management Practices

    Steve Weydert, CFP, MS

    The wealth management practices of the Wall Street firms and big banks are broken. Again. To understand this point, it's important to step back and remember...

  • Changes

    Staff Writer

    ? SEC Chairman Mary Schapiro has announced the appointment of George Canellos as regional director of the SEC's New York regional office, where he will...

  • How To Make Cap and Trade Work

    Bob Keane

    According to the Environmental Defense Fund, a successful market-based cap and trade program for carbon emissions requires a few minimum elements. All of the following...

  • Numerology: Wealthy Remain Wary

    James J. Green

    In Barclays Wealth Insights' latest report, New Horizon, New Behaviour, released June 16th, the British wealth manager surveyed more than 2,100 mass affluent and high-net-worth...

  • The Ethics of Advice

    Bob Keane

    The definition for, and the application of, a fiduciary standard is a topic in great debate now within the U.S. financial services industry. In Australia,...

  • The IRS Weighs In

    Tere D'amato, Tere D'amato

    If past participants of stranger-owned life insurance were promised easy money at no cost, the rules of the game have changed. In May 2009, the...

  • The Great Health Reform Debate

    Melanie Waddell

    President Barack Obama has set an ambitious deadline of October to achieve comprehensive healthcare reform, traveling to-and-fro across the nation to warn civilians and lawmakers...

  • How to Speak Australian

    Bob Keane

    Anyone who's ever been to an Outback Steakhouse knows the difference between a Bloke and a Sheila, and probably that Foster's is Australian for beer....

  • Group Think

    Staff Writer

    ? MD Preferred Service Network, an online physician resource center, is working with NAPFA to launch the MD Preferred Financial Advisor Network, a program that...

  • Behavior Modification

    Peter McCarthy, JD, CLU, ChFC

    Beyond providing money for emergencies, a generation-skipping trust can be structured in ways that attempt to guide the behavior and life choices of future generations...

  • Regulatory Reform Angst

    Melanie Waddell

    It's clear that advisors are worried about the impact of regulatory reform measures--specifically now that President Obama's blueprint (announced June 17 and available for download...

  • At Pershing, Opportunity

    James J. Green

    "I've never been as enthusiastic about the industry," said Pershing LLC CEO Richard Brueckner in greeting attendees at the firm's annual Insite gathering on June...

  • Changing Shades of Blue

    James J. Green

    As of December 31, 2008, the top five holdings in Massachusetts Investors Trust, which this year celebrates the 85th anniversary of its founding, were the...

  • Lessons From Down Under

    Bob Keane

    The United States and Australia share many similarities. Both nations began their histories as colonial possessions of the British Empire and despite attracting immigrants from...

  • Danger & Opportunity: Bracing for Change

    Melanie Waddell

    Now that the Obama Administration has released its financial services reform plan via a White Paper June 17, it looks to be all but inevitable...

  • Right in Front of You

    Adam Moseley, Wade Spencer

    At wealth management firm LarsonAllen Financial, technology has been a key budget item during the past four years as the firm has transitioned to a...

  • Insurance Update: Classroom or Courtroom?

    Marlene Y. Satter

    After a series of high-profile actions in his position as New York's top insurance regulator--the most powerful regulator's post in the country, thanks to its...

  • Bilocation

    Peter McCarthy, JD, CLU, ChFC

    We are quickly becoming a single, global community thanks to the 24-hour international media, the spread of the Internet, the immediacy of shared environmental challenges,...

  • Clark at Large: Reality Check

    Bob Clark, Bob Clark

    One of the talents you develop from being a reporter for too long is the ability to spot a "source" when you see one. I'm...

  • What Do Advisors Want?

    James J. Green

    When it comes to service from their custodians, advisors want accurate, timely information, but they also want a partner with integrity. In fact, when asked...

  • Upgrades

    Staff Writer

    Pershing LLC has rolled out its NetX360 technology platform to 1,000 beta users on both the broker/dealer and RIA channels, following two years of development...

  • A Well-Founded Distrust

    Olivia Mellan

    Cultural differences about money and investing are often rooted in sometimes bitter experience. That's likely the case with people from Argentina. According to my son,...

  • Catching Up With...

    James J. Green

    These are challenging times for the mutual fund industry. Once upon a time, fund companies worried that their best money managers were deserting '40 Act...

  • Expert's Corner: When A Sure Thing Goes Bust

    Tere D'amato, Tere D'amato

    If you have ignored the latest schemes dreamed up by enterprising insurance agents to sell large life insurance policies, it is time to get educated...

  • The Fast Track: Highly Focused, Very Happy

    Angie Herbers

    Like most folks, I read with great interest the groundbreaking 2006 Moss Adams Financial Performance Study of Advisory Firms, which described and offered detailed analysis...

ThinkAdvisor Daily Wire

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 © 2018 ALM Media Properties, LLC. All Rights Reserved.