Investment Advisor-May 2010

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  • A Serious Man

    James J. Green

    Before a room of people or in an intimate dinner or an interview with a journalist, Tom Giachetti is never at a loss for words....

  • And Another Thing. . .

    Marlene Y. Satter

    Genworth Financial, in addition to launching Total Living Coverage Annuity, its hybrid annuity/LTC policy, has also brought out another annuity that acts more or less...

  • Catching Up With...

    James J. Green

    When we last reported on a conversation with Jeff Montgomery in these pages, the former NFP Securities honcho had recently become CEO of Al Frank...

  • Case Study: Michael and Tina Tannery

    Ray Sclafani

    Michael and Tina Tannery, of Tannery Wealth in Richardson, Texas, are one of the top-performing teams within LPL. After careers in the wirehouses, the two...

  • Case Study: Don Hurd

    Ray Sclafani

    Don Hurd (not his real name) is a top-performing advisor who works for a wirehouse, and is based in a large metropolitan area in the...

  • Editor's Note: Another Modest Proposal

    James J. Green

    Harry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...

  • Asset Allocation

    Staff Writer

    An economic recovery is at last underway in Gail Dudack's estimation, as evidenced by what she calls the first signs of job creation. "That's always...

  • Settlements On Rise

    Melanie Waddell

    The total value and number of securities class action settlements increased in 2009 to $3.8 billion, a jump of more than 35% from 2008, according...

  • Smart Choice

    Olivia Mellan

    The originators of the Save More Tomorrow (SMarT) system--Richard Thaler of the University of Chicago and Shlomo Benartzi of UCLA--describe SMarT as a "choice architecture...

  • Retirement News

    Melanie Waddell

    Recent research by Vanguard covering the stock market downturn from September 2007 to December 2009, and the ensuing recovery, confirms earlier findings that retirement plan...

  • 30 for 30 Interviews: Ken Fisher

    Bob Keane

    How big is Fisher Investments these days? Headcount is 1,028, AUM is $39 billion and total number of clients is 24,189. Do you anticipate growth to...

  • Soapbox: Debunking the Myths of Leveraged ETFs

    Steve Weydert, CFP, MS

    As a relatively new and unique investment tool, leveraged exchange traded funds are often misunderstood. These funds have experienced such tremendous growth in recent years...

  • Of Morale and Leverage

    Angie Herbers

    One of the major problems with hiring your spouse into your practice may not be you or your spouse, but your existing staff. How are...

  • Easy Rider Redux

    Marlene Y. Satter

    Long-term care insurance is complicated. It's also a hard topic to address with clients who often don't want to think about the possibility that they...

  • Broker/Dealer News

    Staff Writer

    Fidelity's clearing arm for broker/dealers, National Financial, announced several new online service technology tools that National Financial says will allow brokers and advisors to spend...

  • Retirement Planning: ING Back Into Retirement

    James J. Green

    ING Financial Solutions, that unit of ING's U.S. operations formed by the merger of the Dutch-based company's U.S. annuity and rollover businesses in 2009, has...

  • 30 for 30 Interviews: John Bogle

    Bob Keane

    Investment Advisor is celebrating its 30th anniversary. How would you say the mutual fund business has changed in that time period? Mutual funds used to...

  • Silver Lining

    Brent Burns, Stephen Huxley

    Anxiety prevails among fixed income managers over the prospects of rising interest rates and what it will do to their product's reputation as a "safe"...

  • At the Pinnacle

    Melanie Waddell

    While various studies performed throughout the years have shown that a large portion of the female population is the breadwinner in their families, that women...

  • What a Reinvigorated SEC Will Mean for You

    David Tittsworth

    Reports of the demise of the Securities and Exchange Commission were premature. In the wake of the Madoff scandal, some questioned whether the SEC would...

  • What It Will Cost

    Ronald Pechtimaldjian

    As President Obama signed healthcare reform legislation on March 23, he probably would have wanted the director of the Congressional Budget Office, Douglas Elmendorf, sitting...

  • Healthcare Reform and You

    Melanie Waddell

    With President Barack Obama's historic health reform legislation, the Health Care and Education Reconciliation Act of 2010, H.R. 4872, signed into law March 23, advisors...

  • Tax Implications

    Ronald Pechtimaldjian

    Taxes are, for a change, probably the easiest area to consider when assessing the implications of healthcare reform for advisors and their clients. To be...

  • Simple, Not Simplistic

    James J. Green

    Tom Giachetti is no stranger to Investment Advisor readers, nor to many advisors who have heard this securities lawyer extraordinaire speak at all manner of...

  • Formulas for Success: The Dispensable Leader

    Mark Tibergien

    "The graveyards are full of indispensable men."--General Charles DeGaulle At the risk of sounding overly dramatic, we are an industry facing a crisis of leadership....

  • 30 for 30 Interviews: Mark Tibergien

    Bob Keane

    What's the biggest change you've seen in the advisory profession over the last 30 years? I think that one of the biggest changes that has occurred...

  • The Up Side of Fear and Greed

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Retail investors buy and sell securities for various reasons, many of which are based on either fear or greed, and that can creat inefficiencies that...

  • 30 for 30 Interviews: Mary Schapiro

    Melanie Waddell

    Are you waiting to see the outcome of financial services reform before you make a final determination on how to proceed with harmonizing the rules...

  • Carpet Balming

    Mike Patton

    Think of the world of financial services as a large, somewhat dysfunctional family with competing forces typified by the two eldest brothers in the family....

  • Clark at Large: Hope and Change

    Bob Clark, Bob Clark

    I know this is risky, but it's all a part of the high-wire timing act we call financial journalism, especially the monthly print variety: It...

  • Thirty for Thirty

    staff Writer

    We present for your consideration 30 individuals who over the past 30 years--the period in which Investment Advisor has been serving independent and independent-minded advisors--have...

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