Investment Advisor-June 2009

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  • Soapbox: Algorithms vs. Arithmetic

    Contributing Writer

    There are security analysts and financial advisors who have no fear about taking positions in derivatives based on arcane algorithms. But for some reason, these...

  • About the Planner

    Bob Keane

    Bob Whalen President Brewer Financial Services Group 200 South Michigan Avenue Chicago, Illinois 60604 Phone: 312-896-3930 E-mail: info@brewerfinancialgroup.com Web site: www.brewerservices.com Year firm founded: 2001 (B/D launched in 2005) Number of advisors in firm:...

  • Changes

    Staff Writer

    ? Former Schwab Institutional president Debbie McWhinney, who retired from that position in 2007 and was most recently CEO and president of the Dennis and...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Jeffrey Kleintop In his May 4 weekly commentary LPL Financial's chief market strategist noted that, "The prospects for recovery by year-end have...

  • Shelter from the Storm

    Marlene Y. Satter

    Advisors whose high-net-worth clients have trouble getting coverage for their homes in coastal and other hard-to-insure areas might want to take a look at PURE....

  • B/D News & Products

    Staff Writer

    The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...

  • Leadership

    James J. Green

    In the middle of one of the most challenging times in the industry's history, how are independent broker/dealers coping? The leaders of 67 of the...

  • Retirement Planning: Warming Up to Annuities

    Melanie Waddell

    While still taking a cautious approach to their use of annuities, registered investment advisors are steadily increasing their use of immediate annuities for rollover dollars,...

  • Retirement News & Products

    Melanie Waddell

    Recent data published by the Employee Benefit Research Institute (EBRI) found that many Americans support the use of lower cost sharing as an incentive to...

  • Catching Up With: Greg Friedman

    James J. Green

    The last time we spoke to Greg Friedman, he was among the cadre of advisors interviewed for the March 2009 cover story on how industry...

  • Upgrades

    Staff Writer

    As of May 4, Neuberger Berman Group is again majority-owned by its employees, including portfolio managers and senior executives of the company. The 70-year-old firm's...

  • Not Just the CCO

    Thomas D. Giachetti

    While the chief compliance officer (CCO) should of necessity be the main player in the compliance review process, whenever possible I strongly recommend that at...

  • Now and Then

    Angie Herbers

    Bob Reed's decision to build a firm that allowed all its employees to exercise their abilities has led to growth in assets under management and...

  • A 20-Year Investment Theme

    Bob Keane

    In September 2007 Schroder launched its ISF Global Climate Change Equity Fund, which is based in Luxembourg and currently only available to European investors. On...

  • Not Sitting Still

    Larry Chambers

    If you're busy cutting your marketing budget right now because revenues are down, I suggest you think twice. For instance, do you want to know...

  • Venture Populist: Private Practice

    Jeff Joseph

    The cover story for April's The Atlantic was a timely article called "Why I Fired My Broker" in which Jeffrey Goldberg recounts the misgivings of...

  • Coming to an RIA Near You

    Russ Diachok

    One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However,...

  • Boomers Still Prefer Aging in Place

    James J. Green

    As in many other areas over the past few decades, boomers are poised to affect in a big way another bedrock of society: the housing...

  • Editor's Note: Different Trains

    James J. Green

    I've been covering the business of independent financial advice-givers for long enough that like high fashion, or low, I've seen styles run several cycles. As...

  • ETF Advisor: ETFs for Cash

    Vaughan Scully

    With investor interest in exchange traded funds seemingly endless, fund sponsors are busy exploring every nook and cranny for new fund ideas. Over the past...

  • From the Silver Lining Department

    James J. Green

    While the market performance of the last 18 months (at least until March 9) has hurt just about every investor and advisor across the board,...

  • Numerology: Fund Flows Bounce Back

    James J. Green

    Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013, reaching 55% from 48%...

  • What's In A Name

    Marlene Y. Satter

    There are several different classifications of insurance you should be aware of. The classification determines the type of regulation that governs it; knowing a policy's...

  • B/D Briefing: Keys to B/D Success

    Elizabeth D. Festa

    A new study published by Moss Adams and Pershing affiliate iNautix--The Art of Efficiency: A Holistic Approach to Operations--reveals what most suspect but perhaps won't...

  • Danger & Opportunity: A Fool's Errand

    Don Schreiber, Jr.

    On April 9 2009, under enormous pressure from the banking community and politicians, the Financial Accounting Standards Board (FASB) issued Statement No. 157 to relax...

  • The Fast Track: Letting Go

    Angie Herbers

    Recently, I had my weekly call with my client Bob Reed, of Personal Financial Advisors, LLC in Covington, Louisiana. Like many advisors today, Bob was...

  • Best of Times, Worst of Times

    James J. Green

    The business is broken, accelerated by the crisis. We need a new model, because the old way of doing business is broken," says Bob Cogan,...

  • Saving Grace

    Marlene Y. Satter

    Tommie Monez of Focus Wealth Management in Middleburg, Virginia, is keeping an eye on current conditions in the insurance industry on behalf of two of...

  • Temperament & Tools

    Mike Patton

    When you consider the financial planning industry as a profession, the future is extremely bright. This is partly because the financial planner is the only...

  • Survival of the Fittest

    Russ Diachok

    It may be hard to believe, but it was only last autumn when, in what seemed to be a blink of an eye, our capital...

  • When Less Is More

    Elizabeth D. Festa

    It appears that the best broker/dealers limit the number of investment vehicles on their approved list. That's one of the findings of The Art of...

  • States' Basic Protection

    Marlene Y. Satter

    While coverage available from the 52 state guaranty associations (including the District of Columbia and Puerto Rico) differs from state to state, basic limits of...

  • Clark at Large: Embracing Change

    Bob Clark, Bob Clark

    When Tom Lydon's receptionist told me that he was on the phone and would have to call me back, I couldn't have been more surprised....

  • Group Think

    Staff Writer

    ? The Financial Planning Coalition--CFP Board of Standards, National Association of Personal Financial Advisors (NAPFA), and the Financial Planning Association (FPA)--has issued a call for...

  • A Cautionary Tale

    Marlene Y. Satter

    Morris Armstrong, of Armstrong Financial Strategies in Danbury, Connecticut, is guiding a client through another problem that is becoming more common as insurance companies are...

  • Expert's Corner: Complacency, Risk and the SEC

    Thomas D. Giachetti

    All too often advisors become complacent with respect to compliance matters, but all registered investment advisors must continue to recognize that compliance is an ongoing...

  • How to Build a Support Network

    Olivia Mellan

    If a client needs a type of support that you can't provide, will you be ready with a referral? Consider e-mailing your colleagues and friends...

  • Directional Advisor

    Bob Keane

    Bob Whalen spent the first 16 years of his career in the American Express family, ending up as a group VP at Ameriprise Financial Services...

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