Investment Advisor-March 2011

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  • Multiple Choice

    Mark Tibergien

    Every so often the trade publications feature a rash of articles about the success of roll-up firms focused on consolidating financial advisory practices.

  • A Star is Made

    Angie Herbers

    When it comes to hiring junior advisors, virtually every advisor I’ve ever seen wants to hire a star: some youngster with a resume’ that will knock your—and their—stocks off.

  • Get Form ADV Right

    Thomas D. Giachetti

    The new Form ADV Part 2A, or Brochure, shall take the place of an investment advisor’s old ADV Part 2 and Schedule F.

  • Time to Move?

    James J. Green

    If there’s one theme in the industry that nearly everyone seems to share, it’s that the time is right, now, for the movement of advisors and their clients’ assets.

  • Being Rick Ketchum

    John Sullivan

    This job affords me the opportunity to “live other lives;” to see both sides of an issue in all its selfish and selfless glory.

  • Target-Date Funds’ Subjective Objectives

    Steve Weydert, CFP, MS

    Until now, fund companies, rather than employers, have set unrealistic objectives that call for high equity exposure, translated to high fees.

  • Putting a Price on a Promise

    Jeff Joseph

    Last month, we identified the typical ranges of equity that private venture investors end up with as the result of their “seed stage” investment, and the subsequent “Series A” round.

  • Asset Allocation: March 2011

    Editorial Staff

    I don’t think we’re in a bond bubble, although I know many people feel that way. Our increase in our equity allocation recently simply reflects…

  • Human Capitalist

    James J. Green

    There’s plenty going on at Pershing Advisor Solutions, the RIA custody arm of Pershing, and Mark Tibergien is at the center of that action.

  • Protect Affluent Clients’ Data—and Privacy

    Lewis Schiff

    We read about all the large data lapses in the news—credit card info for thousands of TJ Maxx customers stolen, Countrywide losing mortgage application data for thousands of people, etc.

  • SEC and the Fiduciary Study: The Process

    Kate McBride

    In January, the SEC released its fiduciary study under Dodd-Frank. We timeline how the issue of extending the fiduciary standard to all advice givers developed.

  • Jerry Jordan's Napoleon Complex

    John Sullivan

    Its hard to get big when youre small, because nobody wants to invest with somebody whos small, says Jerry Jordan, portfolio manager of the Jordan Opportunity Fund, when asked about his status as an overlooked manager.

  • House, Senate Hearings Next on Fiduciary

    Melanie Waddell

    Within a month or so, the House Financial Services Committee will begin holding hearings on the Securities and Exchange Commission’s (SEC) report regarding fiduciary duty, which was mandated under Section 913 of the Dodd-Frank Act and handed to Congress on Jan. 21.

  • A Star-Crossed Tale

    Marlene Y. Satter

    On Jan. 27, Allstate Insurance thought it would have some fun with a story that had come out just a couple of weeks before about changes in people’s zodiac signs.

  • Betting on the Bond Bubble

    Mike Patton

    What’s the difference between tulips, the South Sea Company, stocks in the Roaring Twenties, Japan’s Nikkei in the 80s, the NASDAQ 90s, the recent housing boom, the current price of gold—and bonds?

  • SEC Fiduciary Rule May Hit by Summer

    Melanie Waddell

    Despite the advisory industry’s hopes that the Securities and Exchange Commission (SEC) would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.

  • A Study in Flexibility

    Bob Clark

    Now that the euphoria that followed the SEC’s Study on Investment Advisors and Broker-Dealers has waned a bit, it’s time to take a more somber look at what this much-awaited document says.

  • Growing Choice, Shrinking Globe

    Savita Iyer-Ahrestani

    Question: How do you invest in a country that you know has opportunity, but you’re not that familiar with?

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