Investment Advisor-November 2008

Issue Gallery ›

  • Gestation Questions

    Rudy Adolf

    Before deciding to launch your own RIA ask youself these three key questions: ? Are you prepared for the financial challenges and personal sacrifices you will...

  • A Tale of Two Cities

    James J. Green

    At a time when investor confidence has been shaken by the almost daily news of unprecedented bailouts, bankruptcies, nationalizations, and stock markets that seemed to...

  • Retirement News & Products

    Kara P. Stapleton

    The Department of Labor (DOL) recently issued final rules pertaining to requirements under the Pension Protection Act (PPA) that relate to distribution of 401(k) benefits...

  • The Retirement Angle

    Elizabeth D. Festa

    Conditions are improving for the increased use of exchange-traded funds in 401(k) plans, according to their proponents in the third-party administrator and investment fields. Before...

  • Reinvesting Profits to Generate Income

    Elizabeth D. Festa

    Stephan Cassaday, CEO of Cassaday & Company, Inc., has developed a retirement investment process that he uses to make sure retirees do not outlive their...

  • Trust and Context

    James J. Green

    Among all the numbers surrounding the current economic crisis--$700 billion for the bailout of the toxic mortgages (or will that be used to buy stock...

  • A Q2 Meltdown

    Jeff Joseph

    Using words like "violent," "extreme," and "unpredictable," Hennessee Group LLC principals Charles Gradante and Lee Hennessee struggled to describe the staggering September losses experienced by...

  • The SEC Rethinks Disclosure

    Melanie Waddell

    At a time when the markets are at their worst, the Securities and Exchange Commission, via its 21st Century Disclosure Initiative, is examining how to...

  • Coaching for Producers

    Kara P. Stapleton

    "As a member of the independent broker/dealer business, Genworth Financial's vision is to be the wealth management partner of choice for independent financial professionals, and...

  • Becoming A Coach

    Kara P. Stapleton

    The International Coach Federation (ICF) (www.coachfederation.org/ICF) is a worldwide resource for business and personal coaches, as well as a source for those who are seeking...

  • Your Clients' Unretirement

    Kara P. Stapleton

    "In the annuity space, traditionally, products have offered guaranteed lifetime steams of income. That might be fine for people who are going to work all...

  • Investing in Turbulent Times

    James J. Green

    The housing crisis and credit market upheaval that began last year have been creating a roller coaster ride for market participants with equity markets down...

  • Transition Questions

    Rudy Adolf

    nce your RIA is an established enterprise, a new set of questions needs to be addressed, including: ? What is your timeframe for retirement and how...

  • Changes

    Kara P. Stapleton

    William Hart, founder of Chicago-based Hartline Investment Corp., has been elected chairman of the board of National Advisors Trust, owned by over 130 independent financial...

  • Insurance Information

    Marlene Y. Satter

    While the American Council of Life Insurers (ACLI) and the American Insurance Association (AIA) are calling for a federal Office of Insurance Information, the National...

  • Self-Examination Questions

    Rudy Adolf

    Successful advisors don't end their introspection once they've decided to become an RIA. In fact there are always more question to ask, such as: ? What...

  • Group Think

    Kara P. Stapleton

    ? Schwab Institutional announced the winners of the third annual Impact Awards, which honors advisors and firms that have "advanced the industry through their visionary...

  • Smoke and Mirrors?

    Marlene Y. Satter

    The September turbulence surrounding the bailout of AIG has added to an ongoing debate: whether the Treasury Blueprint's plans for an Optional Federal Charter (OFC)...

  • Safe and Sound

    James J. Green

    Our role, says Charles Goldman, is to "provide safety and soundness of clients' assets" for the advisors who custody those assets at Schwab Institutional (SI)....

  • 401(k)s in Crisis

    Melanie Waddell

    Since the financial meltdown took hold, one thing is certain: investors' 401(k) accounts have dropped. The retirement planning industry, along with Congress, is trying to...

  • Compensating a Coach

    James J. Green

    "The bottom line is you need to ask about return on investment, and specific experience with investment advisors," cautions Doug Gray, vice president of learning...

  • BD Briefs NEWS & PRODUCTS

    Melanie Waddell

    Raymond James Financial ranked highest in employee advisor satisfaction among financial investment firms in a tie with Edward Jones, according to the J.D. Power and...

  • Capitalism Comes To China

    Beth Piskora

    Market participants may find some irony in the idea that as the capitalist West embarks on bailouts and nationalization, the still--officially--Communist nation of China is...

  • Creation and Evolution

    Mark Tibergien

    A number of lessons can be learned from the recent calamity in the financial markets: if you don't manage risk, you will likely fail; if...

  • Spare Change

    Bob Clark, Bob Clark

    Last fall, I heard a senior mutual fund company executive give a talk in which he warned about the impending sub-prime disaster. I wish I'd...

  • Sticking Up for Senior Investors

    Melanie Waddell

    As the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...

  • Figuring Out ARS Freeze

    Melanie Waddell

    Since the auction rate securities (ARS) market froze in February of this year, the Securities and Exchange Commission (SEC) has gotten 11 of the largest...

  • Water, Water, Everywhere

    Bob Keane

    Finding a clean and renewable energy source to replace petroleum is undoubtedly one of the most pressing, and well-publicized, problems facing civilization today. Oil, however,...

  • Hitting the Milestones

    Rudy Adolf

    By Rajini Kodialam and Rudy Adolf n life, milestone events--a marriage, the birth of a child, a round-numbered birthday--prompt us to pause and take stock. We...

  • Problem Solver

    Bob Keane

    Just about any advisor can help someone with substantial assets get his financial house in order and set up a plan for the future. Dennis...

  • Getting Your Shares

    James J. Green

    Advisor Mike Patton of Integrity Wealth Management in Baton Rouge, Louisiana, thinks highly of exchange traded funds in building client portfolios since they are relatively...

  • Sore Losers

    Olivia Mellan

    What ever happened to being a good sport? The days of humble winners and gracious losers seem to have vanished with tail fins and whitewall...

  • The Essence of Independence

    Philip Palaveev

    The heavy hits taken by wirehouse firms during the last few months' turmoil have led many brokers who may have idly thought about going independent...

  • Catching Up With: Ken Fisher

    James J. Green

    Over the past few years, we've checked in with Ken Fisher several times to see how the founder and CEO of this largest of RIA...

  • Being There

    Bob Keane

    Like many advisors, Dennis O'Brien spent much of his time on Monday, September 30, the day that Congress failed to pass the financial rescue bill,...

  • An Economic Excursion

    Kara P. Stapleton

    The national savings rate in the United States is approaching an all-time low, meaning many American families are not in a position to successfully plan...

  • About the Planner: Dennis K. O'Brien

    Bob Keane

    Dennis K. O'Brien President & founder Coastal Financial Advisors 503 Casino Drive Farmingdale, New Jersey 07727 Phone: 732-683-2330 Web site: www.coastalfa.com Year firm established: 1999 Advisors in firm: 1 Number of clients: 25 Compensation: fee-only Client...

  • Upgrades

    Kara P. Stapleton

    CRM Software, which makes the CRM application Junxure, is getting into the practice management consulting business through the Junxure Solutions Group, which CRM President Greg...

  • Moving On

    James J. Green

    By James J. Green and Melanie Waddell Lo, how the mighty have fallen, and who knows where it will end? This year is turning out to...

  • The Fine Art of Planning with Collectibles

    Lewis Schiff

    Many affluent clients have a serious passion for collecting--and for some it reaches the level of obsession--with a range of interests from exquisite art to...

  • Reasoned and Reasonable

    Thomas D. Giachetti

    For those many of you who called or e-mailed me about my last column regarding the confusion that is too often caused by both self...

  • Stepping Up

    James J. Green

    At a time when much of the financial services world is in crisis mode, with hyperbolic statements on the seriousness of the situation flowing like...

  • Measure Twice, Sell Once

    Bob Clark, Bob Clark

    By Brad Buffermann, David Grau, and Bob Clark Down markets are traditionally good for independent advisory practices. Many firms get a flood of new clients deserting...

  • In The Game

    Kara P. Stapleton

    "Basically, I felt stuck," recalls Matthew Keeling, a planner at Keeling Financial Strategies, in Mashpee, Massachusetts. "I knew what I wanted to do. I knew...

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