Investment Advisor-July 2012

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  • The Spirit of Scottrade: Little Firm Pushes Big Value

    John Sullivan

    If you havent heard of Scottrade Advisor Services, youre forgiven. Started in 2005, it resides in the decidedly non-financial hub of St. Louis, but the institutional business is coming on strong, finding a niche among the big boys.

  • Earth, Water and Fire

    Marlene Y. Satter

    The search for natural gas and oil found through the process known as hydraulic fracturing, or fracking, is fraught with controversy.

  • Time’s Up on DOL’s 408(b)(2) Deadline

    Melanie Waddell

    The July 1 compliance date for the Department of Labors (DOL) final 408(b)(2) fee disclosure rule has finally arrived, and even though the final rule was a long time coming, covered service providers have been ramping up their compliance efforts for months.

  • Adrift on the Income Stream

    Mike Patton

    Perhaps the single most important issue on the minds of retirees today is how to maximize income during their golden years.

  • Pursuing Practice Excellence: The Industry Perspective

    Spenser Segal, James J. Green

    In the second of a series on the findings of our breakthrough practice management study, we gauge where and how the partner firms to advisors are spending their time and dollars on practice management.

  • Square Peg in a Round Hole?

    Ryan Issakainen

    After a decade of tremendous growth among both retail and institutional investors, in which assets under management eclipsed the $1 trillion mark, exchange-traded funds have yet to gain a meaningful foothold in 401(k) plans, which are still dominated by traditional mutual funds.

  • Rise of Brazil and the Beautiful Games

    Savita Iyer-Ahrestani

    For Brazil, the 2014 World Cup and the 2016 Olympic Games are about more than just sportstheyre a chance to showcase that the country is worth investing in.

  • Women Are Not a Niche

    Mark Tibergien

    At a recent Barrons Top Independent Advisors conference, an audience member posed a question to me and my counterparts that seemed like a flashback to the 1970s and 80s.

  • Who’s Not in This Issue

    James J. Green

    Its a nice experience when you believe in something strongly and people you care about come to the same conclusion.

  • Finding Yield in Unusual Places

    Tim Clift

    In the great search for yield, Envestnet|PMC uncovered some sectors of the markets where you might not expect to find good sources of income.

  • I Come to Praise America

    John Sullivan

    With the Fed supposedly out of bullets in its desire to help our own economy, were still rushing to Europes aid. Its dollars and cents rather than guns and ammo, but its foreign policy nonetheless.

  • SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

    Melanie Waddell

    Industry trade groups and consumer advocates opposed to House Financial Services Committee Chairman Spencer Bachus bill calling for a self-regulatory organization (SRO) to oversee advisors had their hopes quashed that the Securities and Exchange Commission (SEC) would receive a boost in funding in order to thwart an SRO.

  • Fiduciary Duty: Best Execution Obligations

    Thomas D. Giachetti

    As indicated in last months column (see Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations, Investment Advisor, June 2012), the United States Supreme Court, in 1963, held in SEC v. Capital Gains Research Bureau Inc. that the Investment Advisers Act of 1940 imposes a fiduciary duty on advisors by operation...

  • The Heat Rises on FINRA as Advisor SRO

    Melanie Waddell

    Just as a government watchdog is pressuring the Securities and Exchange Commission (SEC) to beef up its oversight of the Financial Industry Regulatory Authority (FINRA), Congress is mulling whether to give FINRA the power to oversee advisors.

  • Upping the Ante

    Bob Clark

    In my April 3 blog (See What Morningstars FeeCheck Tells Us About AUM Fees,, I wrote that because FeeCheck is based primarily on data from brokers, the high AUM fee levels it references and recommendsfrom 1.6% to 2.5% on a vanilla portfoliodont reflect whats currently being charged in the...

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