Investment Advisor-May 2009

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  • Game Changer

    staff Writer

    If you believe his critics, Barack Obama is an agent of socialism whose economic and social agenda includes nothing less than the goal of massively...

  • How Things Are Changing

    James J. Green

    Bill Crager has a unique vantage point from which to watch the investing mindset of advisors. As president and co-founder of Envestnet, which provides front-...

  • Changing Climate

    Marlene Y. Satter

    Joel Ario, Pennsylvania insurance commissioner and chairman of the NAIC Climate Change and Global Warming Task Force, says that how NAIC addresses climate change in...

  • Changes

    Staff Writer

    ? Derek Bruton has been named national sales manager for LPL Financial Independent Advisor Services while still retaining his position as CEO for the LPL...

  • B/D News & Products

    Staff Writer

    The U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...

  • Group Think

    Staff Writer

    ? The Financial Planning Association (FPA) is currently accepting nominations for its 2010 Board of Directors through July 16, 2009. Members of the FPA's 2009...

  • Let the Sun Shine In

    Angie Herbers

    In difficult times like the current environment, it's important to divulge as much about your firm's finances as you feel comfortable for two reasons. First, making...

  • Women of Infulence

    Bob Clark, Bob Clark

    In a field where they make up barely 25% of practitioners, women in wealth management are changing the style and tone of the profession. Securities...

  • New IRS DB Funding Rules

    Melanie Waddell

    The Internal Revenue Service (IRS) recently issued regulatory guidance on defined benefit pension plans that provides some needed relief for DB plan sponsors. Citing the...

  • Confidence Builders

    James J. Green

    "There may have been a loss of confidence in the American economy," said Rep. Robert Andrews (D-New Jersey), "but that doesn't translate into a loss...

  • Editor's Note: Talking to the Enemy

    James J. Green

    The silver-haired estate planning attorney slipped into the seat next to me and snarled when the speaker began to speculate about tax policy in the...

  • Insurance Update: Out in the Open

    Marlene Y. Satter

    On March 17, the National Association of Insurance Commissioners (NAIC) approved a compromise version of the climate change survey sent out for comments in 2008....

  • Retirement News & Products

    Melanie Waddell

    Recent research by Cerulli Associates focuses on what the Boston-based research firm calls the "bookends" of the 401(k) market--large and mega-plans and micro- and small...

  • Soapbox: A Modest Proposal for Wealth Managers

    Staff Writer

    In "A Modest Proposal," written in 1729, the noted Anglo-Irish satirist Jonathan Swift suggested that the impoverished Irish could ease their economic troubles by selling...

  • Broker/Dealer Briefing: John Simmers of ING

    James J. Green

    John Simmers, who in his 30-year career helped consolidate ING's roster of broker/dealers into the four B/Ds that comprise the ING Advisors Network, has retired from the...

  • Asset Allocation

    Bob Keane

    Behind the Numbers, with Gail Dudack In the April 8 release of Direct from Dudack, her intermittent one-page report on economic events, Gail Dudack asked, "When...

  • The ETF Advisor: Energy Edge

    Vaughan Scully

    The nearly $100 per barrel plunge in oil prices since last summer, coupled with the credit crisis and stock market decline, hit the nascent biofuels...

  • After the Fraud

    David A. Lifson, CPA

    By now most of the globe knows something about Bernard L. Madoff, who made off with billions of dollars investor's funds. In spite of Madoff's...

  • Clark at Large: Creationism

    Bob Clark, Bob Clark

    Mary Schapiro has a problem. Sure, as President Obama's appointee to chair the SEC she headed the list of the most influential women in wealth...

  • Walk On

    Kelli Cruz

    The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the...

  • The Fast Track: Coming of Age

    Angie Herbers

    Recently, one of my clients, who shall remain nameless, made a big mistake. We agreed that firm finances required she lay off two of her...

  • Expert's Corner: Stage Fright

    Nick Giacoumakis

    I write this as we enter the fifteenth month of the bear market, when keeping our clients calm and focused on their financial planning goals...

  • The Green Advisor: A Triad of Values

    Bob Keane

    In this space last month we wrote that while green investing and socially responsible investing (SRI) have much in common, they are not always the...

  • Danger & Opportunity: The SEC Reformation

    Melanie Waddell

    Financial services regulatory reform has been bandied about for some time now, but we got a taste of what the Obama Administration and the Securities...

  • Danger & Opportunity: Raising the Bar

    Melanie Waddell

    If you were asked to nominate a single representative who personifies reason and insight when it comes to investing, combined with integrity and a career-long...

  • Formulas for Success: Are You Overpaid?

    Mark Tibergien

    Several months of populist outrage over the sins of Wall Street have stunned the financial community. With every action comes a louder reaction. The proposed...

  • Danger & Oppoprtunity: Why Set Goals?

    Joni Youngwirth

    Years ago, I got my private pilot's license. Nothing can beat the experience of viewing the horizon while feeling the exhilaration of making constant decisions...

  • Upgrades

    Staff Writer

    What Sam Stovall calls a "mega-meltdown" and others call a recession is likely to end by the fourth quarter of 2009, and while it won't...

  • Numerology: No One Way

    James J. Green

    DC Research and Practical Perspectives, two research companies headed, respectively, by Dennis Gallant and Howard Schneider, released in April their most recent findings--"Examining Best Practices...

  • Catching Up With: Jeff Montgomery

    James J. Green

    Jeff Montgomery has seen the advisory business from multiple angles in his career, which is serving him well at Al Frank Asset Management, where he...

  • Pershing Service for RIAs at B/Ds

    James J. Green

    Responding to the growth of dually registered representatives, Pershing LLC introduced April 16 a new service for its affiliated broker/dealer firms called RIA Complete, which...

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