Investment Advisor-July 2014

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  • At Triad, Being RIA Friendly Is Old Hat

    James J. Green

    Many broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.

  • Are You the Star or the Coach?

    James J. Green

    Just as those whove experienced combat tend to be the ones who are most hesitant to declare war, it seems to me that the best money managers tend to be modest folks.

  • Sad Men: The Statistics of Suicide

    Olivia Mellan, Sherry Christie

    In 2010 (the latest year for which national data is available), the suicide rate in the general population was 11 per 100,000, according to Among older men, the suicide rates were:

  • Think He's Depressed? Ask His Wife

    Olivia Mellan, Sherry Christie

    A male client's wife or partner may sometimes confide her concern to you that he is depressed, noted Terry Real, a family and couples therapist in Arlington, Mass., who focuses on men's issues.

  • A Quick Guide to Assessing Mental Health

    Olivia Mellan, Sherry Christie

    Alan Berman, executive director of the American Association of Suicidology, recommends three steps for an advisor to follow in gauging the mental well-being of an older male client.

  • Too Small to Fail (at Succession Planning)

    Bob Clark

    Judging by the amount of coverage succession planning has been getting in the trade press in the past couple of years, it is one of the most pressing problems facing the independent advisory industry today.

  • The Secret Sadness of Retired Men

    Olivia Mellan, Sherry Christie

    As an advisor to retirees, you may be a witness and sometimes an unwitting accessory to lives whose joy is sapped by depression.

  • The Death of the Rainmaker

    Angie Herbers

    The days of the rainmaker are over. From Angie Herbers, here are four steps to a client acquisition process that really works.

  • SEC Charges Wedbush Securities With Violating Market Access Rule

    Melanie Waddell

    The Securities and Exchange Commission announced charges in early June against Los Angeles-based Wedbush Securities Inc. and two officials accused of violating the agency's market access rule that requires firms to have adequate risk controls in place before providing customers with access to the market.

  • Assessing the Annuity Landscape

    Melanie Waddell

    Some advisors swear by annuities while others steer clear of them. Whichever camp you fall into, here are some annuity trends to watch.

  • New on the VA Block: The GOVA


    Several annuity companies are now offering what the Insured Retirement Institute calls an innovative product: the growth-oriented variable annuity (GOVA). The annuity, IRI said, is designed to grow and protect the annuity holder's asset base, knowing that it can be converted to a guaranteed income stream at a later date.

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