Investment Advisor-June 2013

Issue Gallery ›

  • Power in Practice: Wrapping Up

    James J. Green

    Put everything in writing. Involve your staff more in the process. Identify your target market. Trust your instincts. Hire quickly. Trust your friends. Be yourself. You dont have to have a perfect plan.

  • SEC’s White Gets Short Shrift from Congress

    Melanie Waddell

    Securities and Exchange Commission Chairwoman Mary Jo White is running into the same problem that plagued her predecessors: getting the short shrift from lawmakers when prodding them for more money so the agency can properly do its job, including adding examiners for advisors.

  • Do Incentives Really Motivate People?

    Mark Tibergien

    I get a twisted kind of pleasure when good arguments cause me to reconsider my long-held beliefs. The recent book by Clayton Christensen, How Will You Measure Your Life? spurred such a transformation.

  • A Willing Suspension of Disbelief

    John Sullivan

    Nothing is as bad as it seems. Were not in a new normal, modern portfolio theory failed from the get-go anddespite oceans of ink dedicated to the premisebaby boomers, far from finding themselves in crisis, are the best retirement savers in history.

  • When Doing Good Is Bad

    Angie Herbers

    Financial enabling is a problem that manyif not mostfinancial advisors often help their clients deal with.

  • People, People, People

    James J. Green

    A key goal of the Power in Practice coaching program at Commonwealth Financial is to help firm principals grow into their roles as CEOs of their practices-turned-businesses.

  • All About Joni

    James J. Green

    "If theres one thing Ive learned about advisors, its this: If you want them to use something, put it in an Excel spreadsheet.

  • The 2013 Broker-Dealer Presidents’ Poll

    John Sullivan, Liana Roberts

    Fee compression, regulation, succession planning, technologythe more things change, the more they stay the same for the 58 leaders of independent broker-dealers we questioned exclusively for our annual survey

  • Moving Toward Harmony

    James J. Green

    Probing the mind of Olivia Mellan, a pioneer on the psychology of money, and how advisors can use her insights with clients.

  • The 2013 Broker-Dealer Reference Guide

    John Sullivan, Liana Roberts

    Raging bulls, skyrocketing energy production, baby boomer retirementfor such a seemingly volatile industry, in the past year, surprisingly little has changed.

ThinkAdvisor Newsletters

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2020 ALM Media Properties, LLC. All Rights Reserved.