Investment Advisor-July 2010

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  • Options, Options, Options

    David DeVoe, David DeVoe

    Big banks used to be the main acquirers of advisory firms, but in the past few years, the consolidators (such as Focus Financial Partners and...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Sam Stovall "We're in a correction mode right now. The market has declined 10% to 20% from the S&P 500's closing high...

  • Cultured in More Ways Than One

    James J. Green

    In discussing its Advisor Services custody initiative, management at RBC likes to focus on the Canada-upper Midwest corporate cultural fit that eased the acquisition by...

  • The Canadian Connection

    James J. Green

    "When you hear RBC, you don't think Wall Street, so from a perception standpoint, being Canadian helps," says Mike Kavanagh, chief administrative officer and head,...

  • Buddy Up for Safety

    Dan Skiles

    What does your firm do if you must evacuate your office for a couple of days or even weeks? One of the best ways to...

  • Retirement Planning: Discord With DOL

    Melanie Waddell

    As the Department of Labor's Employee Benefits Security Administration (EBSA) prepares to move forward soon in finalizing its regulation on investment advice for 401(k)s and...

  • RBC Is Not Pershing

    James J. Green

    If truth be told, when Michael Kavanagh of RBC Advisor Services talks about "RBC's commitment to helping third party RIAs deliver the sophisticated solutions that...

  • Catching up with Richard Brueckner

    James J. Green

    Pershing LLC Chairman and CEO Richard Brueckner, COO Brian Shea, and Managing Director Frank La Salla sat down with Investment Advisor Group Editor-in-Chief and John...

  • Olivia's Advice on Succession Planning

    Olivia Mellan

    Many financial advisors resist developing a succession plan because of our individual (and societal) reluctance to deal with death and disability. It's easier to say...

  • Case Study: Vernon Cale and His Network

    Ray Sclafani

    "You gotta work with Vernon!" Recently, Vernon Cale began a new million-dollar relationship with a client who was introduced to him by a home remodeler...

  • Ask These Questions

    Ray Sclafani

    To help its coaching clients build a "professional advocate" network, ClientWise has formulated questions to ask prospective members of your network. Here's a sampling: o How...

  • What's an Advocate?

    Ray Sclafani

    At ClientWise, our research shows us that advisors gain leverage by using professional advocates to get client introductions. But what is a "professional advocate?" We...

  • Venture Populist: Founder's Skin-in-the-Game

    Jeff Joseph

    Remember Jobs and Wozniak? Gates and Allen? Don't assume a founder's lack of committed capital to be a stumbling block to a venture's success. In short-sighted...

  • A True Backup Test

    Dan Skiles

    To conduct a legitimate test of your backup system, simply viewing the backed up files on a removable hard drive is not enough. A good...

  • The Compliance Coach: An IPS Happy Medium

    Thomas D. Giachetti

    Investment advisors should have a policy whereby they obtain (and maintain) sufficient information regarding the client's circumstances so as to demonstrate that the firm managed...

  • Different This Time

    Bob Clark, Bob Clark

    One of the clear signs that the fiduciary standard has taken center stage among the public is the coverage the issue has received in the...

  • Pershing Political Insights

    James J. Green

    Speaking at the Pershing Insite conference in south Florida on June 9, journalist and television commentator David Gergen predicted that the Republican party would fail...

  • Retirement Planning: News & Products

    Melanie Waddell

    On May 28 the House passed the American Jobs and Closing Tax Loopholes Act (H.R. 4213), which not only gives various tax cuts, but provides...

  • Tailor-Made Successor

    David DeVoe, David DeVoe

    While it may not always be easy to find an external successor, it can be done. That was the experience of Kevin Hoyle and Joe...

  • Editor's Note: Of Vacuums and Flattery

    James J. Green

    "Capitalism abhors a vacuum." I heard that phrase for the first time in a radio interview with Michael Okrent, the journalist and writer, who recently...

  • Arriving With an Exit Strategy

    Bob Keane

    Cathy Pareto, who operates a solo practice in Coral Gables, Florida with the help of one assistant, says that during the 10 years she worked...

  • A View Across the Table From BP

    Bob Keane

    Bennett Freeman has a history of working on issues with BP that stretches back more than a dozen years and includes his work as senior...

  • Succession Planning: Planning Your Future

    David DeVoe, David DeVoe

    The economy may be on a slow track to recovery, but acquisitions of independent RIA practices are powering ahead. With the industry's continued growth and...

  • A Whirlwind of SEC Activity

    Melanie Waddell

    Whether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...

  • The Fast Track: Taking It Personally

    Angie Herbers

    Most management books and many business school courses are adamant about not forming personal relationships with people who work for you; particularly, not socializing with...

  • Clark At Large: Done Deal

    Bob Clark, Bob Clark

    As I write this, the financial reform bill is in conference committee to reconcile the Senate and House versions of the proposed new law, which...

  • Mutual Fund Spotlight: One For All

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    It may seem only natural that Chicago-based Ariel Investments' flagship $2.3 billion Ariel Fund attracts more attention than the firm's other products. After all, it...

  • Succession Planning: Pass It Forward

    Olivia Mellan

    As you help your clients prepare for retirement, is that R-word beginning to push your personal buttons? To wit, isn't it time you yourself started...

  • "NAPFA Is Back," Says Group's Chair

    Bob Keane

    With more than 500 attendees and 110 exhibitors, "NAPFA is back," Bill Baldwin, 2009-2010 chair of the National Association of Personal Financial Advisors, told the...

  • Insurance Update: A Wider Embrace of LTC

    Marlene Y. Satter

    The Office of Personnel Man-agement (OPM) has announced that, as of July 1, long-term care (LTC) insurance coverage will be available for the same-sex partners...

  • Snap Quiz on Disaster Recovery

    Dan Skiles

    Your business resumption plan is only good if it works, and if all your staff--even the recently added ones--are trained on what to do in...

  • Pershing's Mobile Apps

    James J. Green

    When cio suresh Kumar talks about Pershing LLC's NetX360 platform that just celebrated its one-year anniversary, he's understandably excited about the 70% adoption rate among...

  • Your Next Custodian?

    James J. Green

    When advisors and the companies that partner with advisors think about RBC at all, they might consider it as a largish regional brokerage firm born...

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