Investment Advisor-June 2010

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  • Running Your Own Mutual Fund

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    It takes confidence, connections, and conviction to set up a mutual fund and there's little doubt that Marshall Berol and Malcolm Gissen have all three....

  • Grow and Learn

    John Sullivan

    A poll recently conducted by the SEI Advisor Network found that the top priority for advisors in 2010 is to "create new initiatives to increase...

  • Catching Up With...

    James J. Green

    You've heard about Greg Friedman perhaps in conjunction with Junxure, the CRM firm he co-founded, or the Your Silver Bullet technology integration initiative, or when...

  • Retirement News

    Melanie Waddell

    Carlo DiFlorio, the new head of the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), told attendees at the Insured Retirement...

  • A Longevity Activist's Manifesto

    Olivia Mellan

    In his book The Longevity Revolution: The Benefits and Challenges of Living a Long Life (PublicAffairs; 2008), Dr. Robert Butler has created a wish list...

  • Ageism: The Next Taboo

    Olivia Mellan

    We all like to think we're not prone to discriminate against older people. But Dr. Robert Butler, who coined the term "ageism" in 1968, believes...

  • A Win-Win

    Bob Keane

    In addition to their social return, compared to traditional fixed-income investments, community loan funds offer competitive returns, says Chat Reynders of Boston-based Reynders McVeigh Capital...

  • Independence's Issues

    Thomas D. Giachetti

    I have had the privilege of assisting many independent broker/dealers (IBDs) and their representatives throughout the country for many years. Like the wirehouses, IBDs and...

  • The Regulators Never Sleep

    Melanie Waddell

    The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) announced May 10 that the two agencies have formed a joint committee...

  • Are You Compatible?

    Dan Skiles

    Microsoft has developed a free tool that helps evaluate whether there are any compatibility issues with your existing computer and Windows 7. The Windows 7...

  • From Senior to Partner

    Angie Herbers

    In my book, a senior advisor is really the top of the heap in the advisory profession: they are qualified to make all the decisions...

  • Ten Skills Affluent Children Need by Age 18

    Lewis Schiff

    How to: 1. Save 2. Keep track of money 3. Get paid what you're worth 4. Spend wisely 5. Talk about money 6. Live on a budget 7. Invest 8. Exercise an entrepreneurial...

  • When Contrarians Create

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    For more than a decade after the firm was founded in 1985, Malcolm H. Gissen & Associates provided comprehensive financial planning and investment advisory services...

  • Partners in the Community

    Bob Keane

    Two River Community Bank is 10-year-old financial institution based in central New Jersey with 15 branches in Monmouth and Union counties. William Moss, the bank's...

  • About the Firm

    Bob Keane

    Harbor Lights Financial Group 2424 Route 34 Manasquan, New Jersey 08736 Phone: 732-528-4333 E-mail: info@hlfg.com Web site: www.hlfg.com Number of clients: 650 households AUM: $252 million Compensation: Fees and commission Number of advisors in...

  • Baton Rouge Confidential

    Mike Patton

    As part of what I offer every client, and that I believe helps differentiate my practice, I help organize all their important documents on their...

  • The Wisdom of Dr. Butler

    Olivia Mellan

    On Alzheimer's: "It's the most common form of dementia, but there's no evidence that it's more frequent than before. It's simply that more people are...

  • Mutual Fund Spotlight: The World Their Oyster

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    The two men--who are both RIAs with over 28 years of investment experience each and who launched the Encompass Fund in 2006--look to invest exclusively...

  • Watchful

    Marlene Y. Satter

    As part of this, our annual exploration of the independent broker/dealer universe, Investment Advisor polled the presidents of the independent B/Ds participating in our annual...

  • The Venture Populist: It's Bunk

    Jeff Joseph

    In the May issue of Investment Advisor, we noted that Senator Chris Dodd's financial services reform bill (being debated on the floor of the Senate...

  • The Fast Track: American Standard

    Angie Herbers

    Now that the markets and the economy seem to have turned around, many independent advisory firms are shifting back into hiring mode. Some firms had...

  • Road to Independence: Four Keys

    Mike Patton

    In the financial services industry, as in so many other professions, creating a successful enterprise comes down to a few key areas. First, you must...

  • Next Steps for Congressional Action

    Melanie Waddell

    As Investment Advisor went to press in mid-May, lobbyists and Congressional staffers were optimistic that the Senate would finish a vote on Senator Christopher Dodd's...

  • Asset Allocation

    Staff Writer

    In his weekly Market Commentary dated May 10, 2010, LPL Financial's chief market strategist indicated that the market pullback that began on April 23 is...

  • Leadership Case Study: Geri Pell

    Ray Sclafani

    By anyone's measure, Geri Eisenman Pell's career has been a success. She has been a financial advisor since 1986. For the past five years she...

  • Editor's Note: Learn From New Jersey

    James J. Green

    In thinking of the value that independent advisors like our cover story firm, Harbor Lights Financial, provide to their clients, I think of New Jersey....

  • The Markets: Doomed to Repeat?

    Roger Schreiner

    Some financial experts who know the history of U.S. markets inside and out are nonetheless oblivious to the history of stock markets around the world....

  • Longevity, Your Clients, and You

    Olivia Mellan

    When Ben Bernanke steps outside the realm of fiscal and monetary policy, it's sensible to take notice. On April 7 of this year, the Federal...

  • Limitless Horizons

    Bob Keane

    Partnership is a cornerstone concept at Harbor Lights Financial Group. First there's the equal partnership of the three principals--Ken Roberts, Rob Tendler, and Doug Lockwood....

  • The Business of Advice: Paying to Fail

    Dan Inveen, Eliza De Pardo

    Everyone has heard the old adage "you get what you pay for." Applying this maxim to an advisory firm leads to the conclusion that more...

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