Investment Advisor-July 2013

Issue Gallery ›

  • Incompatibility Is Standard

    thinkadvisor

    It is critical the [fiduciary] standards of conduct put out by the SEC and DOL applicable to investment professionals be compatible, Bill Lowe, president of Sammons Retirement Solutions, told the SEC in his June 4 comment letter.

  • Perfecting Your Tech Image

    Dan Skiles

    Here are some areas to think about that can influence how your firm measures up with clients and prospects when it comes to technology.

  • Catch a Fire

    John Sullivan

    I no longer fear the future. Despite all the hand wringing and teeth gnashing over the source of advisors to come, a dinner at a Vietnamese fusion joint in San Francisco (its a Gen Y thing) went a long way in reassuring me well be just fine.

  • Closing the Window on LTCI

    Marlene Y. Satter

    The chat about long-term care insurance that many advisors have with their clientsand that many more avoidhas been growing more difficult as low interest rates and other market pressures take their toll on available coverage.

  • Do You Need to File Form PF?

    Thomas D. Giachetti

    Last year, the SEC created some confusion when it required advisors who manage private funds to periodically file Form PF. Herewith, we dispel that confusion.

  • Preferred Solution Providers: The 2013 TechLeaders Survey

    Chip Kispert, Marshall Levin, Peter Montoya, Larry Paley

    To evaluate which third-party providers are winning broker-dealers loyalty, we divided this years survey into three groups: advisor-centric, operational support infrastructure and management oversight/risk control.

  • Harmonization Headache: Thornier Than Fiduciary?

    Melanie Waddell

    The debate over the outcome of the SEC's fiduciary rule is bringing to light what could turn out to be an even more contentious issue: whether such a rule will include harmonizing advisor and broker rules.

  • Three Is NOT a Crowd in the Cloud: The 2013 TechLeaders Survey

    Chip Kispert, Marshall Levin, Larry Paley, Peter Montoya

    As educational editor of the 2013 TechLeaders Conference held on March 1315 in Irving, Texas, Beacon Strategies LLC contributed to the conferences goal of developing thought leadership for broker-dealers of all sizes.

  • Client of the Future

    Mark Tibergien

    Take note: Investors under 50 hold almost as much wealth as those over 50.

  • The 2013 TechLeaders Survey Resource Allocation Appendix

    Chip Kispert, Marshall Levin, Larry Paley, Peter Montoya

    As educational editor of the 2013 TechLeaders Conference held on March 13-15 in Irving, Texas, Beacon Strategies LLC contributed to the conferences goal of developing thought leadership for broker-dealers of all sizes.

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