Investment Advisor-November 2009

Issue Gallery ›

  • FPA's Barry Is Optimistic

    James J. Green

    "If we ask for a meeting, we get a meeting," says Dan Barry, the Financial Planning Association's director of government relations, in discussing the largest...

  • An Emotional Competence Inventory

    Lewis Schiff

    Emotional Intelligence rests on an individual's ability to employ their emotional competencies that fall into four clusters: Self-Awareness o Emotional Awareness: Recognizing one's emotions and their effects o...

  • A Short History of Gold

    Vaughan Scully

    Since the dawn of civilization, gold, silver, and other precious metals have been regarded by investors worldwide as a unique store of value. Gold coins...

  • Hybrids on the Rise

    James J. Green

    The September issue of The Cerulli Edge--U.S. Asset Management Edition, from the Boston-based research firm Cerulli Associates, found that asset managers have reacted to the...

  • Marketing Is Everyone's Job

    Angie Herbers

    To harness young advisors' energy and motivation to help with marketing, and maximize their contributions to their firms, firm owners who employ NexGen advisors should...

  • Changes

    Staff Writer

    ? The Investment Company Institute's Board of Governors has elected Edward Bernard, vice chairman of T. Rowe Price Group, to serve as chairman of the...

  • SEC Sets Out Strategic Plan

    Melanie Waddell

    The Securities and Exchange Commission published for public comment in October its Draft Strategic Plan outlining the Commission's strategic goals for fiscal years 2010 through...

  • Numerology: Fewer Assets, More Advisors

    James J. Green

    Total assets managed by investment advisors shrank in 2008 for the first time since 2003, but despite a nearly 20% drop in assets, the number...

  • Why Adopt Global Standards, Anyway?

    D.J. Gannon

    Over the last decade, the world's accounting standard-setters have been working on "converging" local and global accounting standards. Central to these efforts has been the...

  • On the Sidelines for Some Time

    James J. Green

    One of the main signs that investors remain skeptical about the economic recovery is that plenty of money remains on the sidelines. A new survey...

  • One B/D's Take on Assessing Risk

    Olivia Mellan

    Kol Birke, a financial behavior specialist with the independent broker/dealer Commonwealth Financial Network, suggests that advisors develop a risk score for clients after discussing four...

  • The Private Venture Investment Process

    Jeff Joseph

    One of the few commonalities among the thousands of VCs and angel investors is the consensus that the process of identifying an attractive private venture...

  • Insurance Update: Bonds. Death Bonds.

    Marlene Y. Satter

    September's financial news seemed more suitable for Halloween, with headlines about the "macabre" subject of "death bonds" cropping up everywhere from mainstream media to the...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Gail Dudack Taking a contrary position to a lot of the people she speaks with, the principal of the Dudack Research Group...

  • What the Future Will Bring

    James J. Green

    What worries these advisors? What gives them cause for hope? Bob Len is troubled by some regulations, particularly those that stand in the way of globalization,...

  • B/D News

    Melanie Waddell

    The Securities and Exchange Commission recently approved new exchange rules for breaking stock trades that deviate so substantially from current market prices that they are...

  • Still Time

    Bob Keane

    In delivering a short history of the SRI movement, Steve Schueth, president of First Affirmative Financial Network in Colorado Springs, Colorado, explains that SRI originally...

  • B/D Briefing: Citi Brokers Switch to Fees

    James J. Green

    It hasn't taken long for Debbie McWhinney to make her mark at Citigroup. On October 5, Citi Personal Wealth Management announced that the brokers who...

  • The Affluentialist: Reading Your Clients

    Lewis Schiff

    Last month we looked at a recent study that examined how advisors' regular relationship with clients is not devoted to just pure financial matters. Advisors...

  • Hispanics Need Advice

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    It's no secret that the Hispanic community in the United States is the fastest growing segment of the population. Yet Hispanics in America are also...

  • Formulas for Success: Cash Flow Cachet

    Mark Tibergien

    "When your outflow exceeds your inflow, then your upkeep will be your downfall." That pithy phrase was often repeated by a former partner of mine...

  • Small World

    D.J. Gannon

    Over the last several years, the world's capital markets have undergone tremendous expansion, diversification, and integration. Accompanying these changes has been a movement away from...

  • People & Pay

    Dan Inveen, Eliza De Pardo

    Investment Advisor readers can purchase a specially priced copy of the complete FA Insight Study by visiting www.fainsight.com. Click on "Order" and enter the discount...

  • The Fast Track: The M Word Cometh

    Angie Herbers

    Traditionally, Independent advisors don't market. This has always bothered business consultants, who have used periodic market downturns to proclaim that now (whenever "now" was) is...

  • Merrill's Big Plans

    Kate McBride

    Help, and the "importance of culture at this organization," are what Sallie Krawcheck spoke of on October 5th at her first press conference as president...

  • GroupThink

    Staff Writer

    ? The Financial Services Institute (FSI) issued a statement on October 6 urging the House Financial Services Committee to apply a new universal standard of...

  • Retirement News

    Melanie Waddell

    A new 33-country survey by global consulting firm Mercer of organizations that sponsor defined contribution (DC) retirement plans reveals widespread adoption of automatic enrollment and...

  • Upgrades

    Staff Writer

    Laserfiche, the document management company, introduced PhotoDocs, a new document capture system, at the Financial Planning Association's National Conference in Anaheim. PhotoDocs, bundled with Laserfiche...

  • Lessons From an Experienced Advisor

    Olivia Mellan

    Dick Vodra, a wealth manager with Spire Investment Partners in McLean, Virginia, doesn't use a questionnaire to develop a risk profile for clients. Instead, he...

  • Tried and True

    James J. Green

    For someone trying to understand the business of providing investment advice to individuals, data that paints a broad, accurate picture of the overall business is...

  • The Green Advisor: SRI & Green Investing Grow Up

    Bob Keane

    "Socially Responsible Investing (SRI) has for decades remained on the fringe of strategic money management, routinely battling the perception that prioritizing an ethical or social...

  • The ETF Advisor: Precious Metal ETFs

    Vaughan Scully

    What makes precious metals funds so attractive is that they offer investors the ability to gain unleveraged exposure to gold and other precious metals without...

  • Reassessing Risk

    Olivia Mellan

    When people win, they like risk. When they lose, they hate it. If only it were easier to translate that knowledge into an investment strategy...

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