Investment Advisor-November 2010

Issue Gallery ›

  • Wide Open (Investment) Spaces

    John Sullivan

    No offense to the citizens of this red state stalwart, but we don't often hear of the New York-San Francisco-Tulsa financial triangle.

  • Our Worst Enemy

    John Sullivan

    I was in my car listening to afternoon drive-time, psychobabble BS when the guest said, "I don't fix problems, I fix people." Simple enough--people cause...

  • Credit Where Credit Is Due

    Marlene Y. Satter

    Using credit scores in an economy that has seen millions put out of work and into foreclosure is unfair and subjects consumers to unreasonable rate increases.

  • An Alternative Custody Strategy

    Reggie Karas

    The epicenter of the RIA world is shifting from a focus on traditional assets to the inclusion of alternative investments in clients' portfolios.

  • New Form ADV: Re-Arranging the Deck Chairs

    Thomas D. Giachetti

    In this, the third in our series of columns looking at the latest regulations for advisors from the SEC, let's look at the new Form ADV disclosure.

  • Choose Wisely

    John Sullivan

    Which companies are getting it right? We take a look at some of the top plans by assets. A few might surprise you.

  • Why Choice Matters

    James J. Green

    Advisor choice is the natural outgrowth of competition.

  • The Trouble with Target-Date ETFs

    Vaughan Scully

    One by one, the rollout of new exchange-traded funds has begun to challenge mutual fund providers for investor asset share.

  • Evaluating Broker-Dealer Service

    Jonathan Henschen, CFS

    It's no secret: One of the main reasons reps leave firms is lousy back room service. Sure, all broker-dealers claim to offer terrific service. However, when...

  • Policy Without Politics

    Savita Iyer-Ahrestani

    The 17-year military dictatorship of General Augusto Pinochet has left an indelible mark on the history of Chile. Even as the Latin American nation celebrates...

  • Don't Be a Boss, Be a Coach

    Angie Herbers

    The real bottom line is that a coach or a business owner can't succeed alone: Their success depends on the success of their players.

  • Fueling Your Success

    Maya Ivanova

    In our last article, we covered revenue, time management and investment trends among registered investment advisors.

  • Serve and Protect

    Danielle Andrus

    Susan Ganz calls herself a financial services professional, but you might call her a disaster preparedness expert.

  • Mark Hurley’s View Askew

    Bob Clark

    A constant theme in Mark Hurley's work is questioning the value of smaller advisory practices.

  • Advisors, Go Beyond Mere Tweets

    Lewis Schiff

    Many advisors think they need a blog, wiki, forum, or a LinkedIn page, without fully understanding the implications.

  • Setting the Pace

    James J. Green

    A raft of new projects--including its new technology 'ecosystem' approach--proves why Schwab remains the RIA leader.

  • Transparently Better?

    Olivia Mellan

    After the traumatic events of the last few years, some of your clients may be experiencing a crisis of confidence in our economic system, institutions and leaders.

  • Can You Build a Business?

    Philip Palaveev

    The typical advisor has likely attended multiple coaching programs, has participated in dozens of practice management workshops, and has seen more presentations of best practices than there are episodes of Law and Order.

  • Life Insurers Under Fire

    Marlene Y. Satter

    At the end of July, in the midst of one of the most financially troubled summers in recent memory, headlines at Bloomberg blazed with charges that insurance companies were profiting from the deaths of servicemen.

  • Keep Your Eye on the Ball

    Mark Tibergien

    It doesn't take a CFA to deduce that a greater investment in clients and the people who serve them yields a higher probability of retaining both--and attracting others.

  • How ETFs Benefit 529 Plan Investors

    Steve Weydert, CFP, MS

    Every investment vehicle is under scrutiny these days, and 529 plans are not immune. These plans are still in their infancy, and were just gaining...

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