Investment Advisor-March 2009

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  • Human Capital Is Key

    Mark Tibergien

    The best leaders in this business deploy several key people development strategies by: o Providing work that matters o Systematically increasing responsibility o Engaging in discussions on aspirations...

  • Shannon Eusey

    Bob Keane

    Shannon Eusey President and Chief Operating Officer Beacon Pointe Advisors 500 Newport Center Drive, Suite 125 Newport Beach, California 92660 Phone: 949-718-1600 Web site: www.bpadvisors.com Email: SEusey@bpadvisors.com Year firm founded: 2002 Number of advisors...

  • What Lies Ahead: Up, Up, and Away

    Marlene Y. Satter

    John Ryan, of Ryan Insurance Strategy Consultants in Greenwood Springs, Colorado, says that advisors need to consider a number of factors when focusing on long-term...

  • Searching for Security

    Melanie Waddell

    As affluent retirees' worries about their financial well-being continue to mount due to the market and economic swoon, sales of immediate annuities are seeing a...

  • Advisor, Know Thyself

    James J. Green

    Olivia Mellan, the veteran IA columnist, psychotherapist, and money coach, suggests that in helping clients plan their retirement, it's essential not only to determine clients'...

  • Retirement News & Products March 2009

    Melanie Waddell

    The Securities and Exchange Commission recently charged Merrill Lynch and two of its former investment advisor reps with securities fraud violations for misleading pension consulting...

  • Changes

    Kara P. Stapleton

    Fidelity Investments announced that Norman Malo, president and CEO of its clearing firm, National Financial, will retire from the company effective March 2009. Malo joined...

  • HedgeWorld: And So It Begins

    James J. Green

    Now that the 111th Congress has been seated and the 44th President of the United States inaugurated, the first stirrings of hedge fund legislation and...

  • Ironically, Maybe the Best of Times

    James J. Green

    In an era when most advisory firms are suffering revenue drops of 20% or more over the prior year, you might think this would be...

  • Climate Change White Paper

    Staff Writer

    You can download a copy of the white paper, "Investment Opportunities in a Climate Change Economy," by Chat Reynders, CEO of Reynders McVeigh Capital Managment...

  • News Flash: There's Heat Down There

    Bob Keane

    One alternative energy concept that is still relatively undeveloped in the U.S. is geothermal heating and cooling. Although in Iceland more than half the population...

  • Road Maps for the Third Age

    Olivia Mellan

    Consider maintaining a library of Third Age literature and inspiring magazine articles to lend your clients as recommended reading between visits. These five books would be...

  • The FSI's Priorities Now

    James J. Green

    In a short five years, the members of the Financial Services Institute (FSI) have done their jobs well. While the 116 independent broker/dealers that are...

  • When It Pays to Fight City Hall

    Melanie Waddell

    New SEC Chairman Mary Schapiro promises better enforcement from the Commission, but the securities law firm Sutherland Asbill & Brennan's annual analysis of litigated disciplinary...

  • The Commonwealth Case Study

    James J. Green

    As an observer at the Commonwealth Financial Network Chairman's Retreat, the annual gathering of the broker/dealer's top producers, the vibe is collegial in more ways...

  • The Bright Side of Non-Retirement

    Olivia Mellan

    "The whole notion of retirement does us all a disservice," says Daniel Wishnatsky, a planner who owns Special Kids Financial in Phoenix. "Horses are retired....

  • Succession & Valuation

    Kara P. Stapleton

    "Right now in the industry there's about a 20% adoption rate for independent practices or practitioners to have a continuity or succession plan in place,"...

  • News: SEC's Top Cop

    James J. Green

    Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...

  • Editor's Note: For Your Consideration

    James J. Green

    As editor of this magazine and someone who's been covering the independent advice industry for more than 10 years, I sit in an interesting spot....

  • Asset Allocation

    Kara P. Stapleton

    Behind the Numbers with Jeffrey Kleintop "The current quarter is going to be a tough one economically--probably the worse of the recession--and earnings will reflect that...

  • Clark at Large: We Can Be Heroes

    Bob Clark, Bob Clark

    Can you believe that annuities are not only still hanging around but actually making a comeback thanks to the retirement of the baby boom generation?...

  • Complex and Customized, but Also Disconnected

    James J. Green

    Since retirement planning is now "more complex and more customized," says Dennis Gallant, the former Cerulli analyst and now president of his own research firm,...

  • The Psychology of Advice: Power Couple

    Olivia Mellan

    Much has been made of the fact that baby boomers are nearing retirement age, but that doesn't mean boomers and their spouses will necessarily be...

  • The Playing Field: Reform Is on the Way

    Melanie Waddell

    As new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...

  • The Fast Track: Collective Amnesia

    Angie Herbers

    I started my consulting career in 2001--not exactly what you would call optimum timing. The dot.com crash had taken trillions of dollars out of the...

  • IA Interview: Changing of the Guard, Sort Of

    James J. Green

    At the recent Financial Services Institute conference in San Antonio in January, an experienced executive from a Massachusetts-based broker/dealer suggested that the CEO of his...

  • News: A Sense of Resolve?

    James J. Green

    As we went to press, the White House and Congress have agreed to a $789 billion stimulus package of spending and tax cuts proposed by...

  • Broker/Dealer Briefing: A Shot Over the Bow

    James J. Green

    The regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...

  • Planner Profile: All in the Family

    Bob Keane

    Although Shannon Eusey majored in psychology as an undergraduate at the University of California, Irvine (where she had been recruited to play volleyball), it's really...

  • March B/D Briefs: News & Products

    Kara P. Stapleton

    Commonwealth Financial Network announced in late January that Wayne Bloom, its managing principal of wealth management, will succeed Chairman Joseph Deitch as CEO effective immediately...

  • Upgrades

    Kara P. Stapleton

    Van Kampen Funds Inc., a subsidiary of Van Kampen Investments Inc., launched the Van Kampen Global Tactical Asset Allocation Fund, which seeks to achieve diversification...

  • Group Think

    Kara P. Stapleton

    ? The Financial Planning Association's Board voted to lay off 10 full-time employees to match an anticipated 15% drop in revenue for FY 2009-2010, which...

  • Numerology: ETFs on the Rise

    Kara P. Stapleton

    Assets in ETFs have turned around after a three month decline in the fall of 2008, with the asset level growing by 11.9%, or $56.6...

  • Catching Up With...

    James J. Green

    These are not the best of times to be running live events, but at TD Ameritrade's Partnership 2009 national conference in Las Vegas in the...

  • IA Soapbox: The Shoeless Cobbler

    Staff Writer

    Investment advisors spend their professional careers planning and executing retirement strategies for their clients and their families. They use sophisticated tools and techniques to help...

  • Patience

    Melanie Waddell

    James Dew's business is booming these days. He's seeing a rush of new business from pre-retirees and retirees who are disillusioned with their current advisor...

  • Insurance Update: Around for the Long Term?

    Marlene Y. Satter

    Bad news is making headlines everywhere; long-term care insurance is no exception. On January 6, Penn Treaty Network America Insurance Company and American Network Insurance...

  • Giving Back: A Firm of Philanthropists

    Kara P. Stapleton

    THIS MONTH'S HONOREE The individual: Todd Morgan & Bel Air employees The firm: Bel Air Investment Advisors The cause: New Millennium Secondary School, Habitat for Humanity, City of...

  • The Affluentialist: Risky Business

    Lewis Schiff

    When a son or daughter steps in to take over the chief executive chair of a family business, timing is everything. The client, the business,...

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