Investment Advisor-October 2010

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  • Overexposed and Underestimated

    John Sullivan

    We know what you're thinking; how could any Janus fund possibly qualify as "overlooked?" Their returns are the stuff of legend, as are the critical...

  • Life Sales Up, but Ownership Overall Down

    Marlene Y. Satter

    According to the recent "U.S. Individual Life Insurance Sales Survey" by LIMRA, sales of individual life insurance improved for the second consecutive quarter of 2010,...

  • Coming of Age

    James J. Green

    Advisor associations are charged with meeting the needs of their members, particularly when it comes to providing education, support and networking. Those groups whose profiles...

  • Retirement News and Products

    Michael S. Fischer

    As Congress gears up to start its fall session, Putnam Investments is wasting little time in pressing lawmakers to pass auto-IRA legislation. Two bills that...

  • What Trading Volume Says About ETFs

    Vaughan Scully

    By now, advisors and even most investors understand the way exchange-traded funds (ETFs) operate. One issue, however, that seems to be a cause of confusion...

  • A Willful Purpose

    Olivia Mellan

    For baby boomers, seeing friends and family members fall by the wayside is an unwelcome and eye-opening reminder of age. One possible result is that...

  • Exits Over Outflows

    Jeff Joseph

    Last month, I spoke on a venture capital panel at a well-attended alternative investment conference in Chicago. As the former head of alternative strategies for...

  • Behind the Numbers with Gary Shilling

    John Sullivan

    Our bond allocation reflects the level of uncertainty that still exists in the world. Treasuries are still a safe haven. Inflation is non-existent and I...

  • When You Pay Too Much

    Angie Herbers

    One of my current clients is so insecure about losing his employees that he constantly gives them unwarranted raises, for no good reason--without performance metrics,...

  • The Seven Secrets of a Purposeful Legacy

    Olivia Mellan

    Over the past 10 years, wealth consultant John Warnick of Family Wealth Transitions & Solutions in Denver has evolved a way of helping clients communicate...

  • Less Liberal Propaganda, and More Sports

    James J. Green

    Journalists should listen to their readers. I learned this lesson well in my last job, where I worked with the Navy Office of Information in...

  • The Role of Multigenerational Retreats

    Olivia Mellan

    As I've educated people to lift the taboo on talking about money, and taught them safe and respectful ways to share thoughts and feelings about...

  • A PIF in Action

    Steve Weydert, CFP, MS

    Consider the following Roth conversion situation: A client converts her $1 million traditional IRA to a Roth IRA resulting in federal tax at today's top...

  • About Those Other SEC Studies ...

    Melanie Waddell

    Among the litany of studies (close to 17 of them, along with 95 rulemakings) that the SEC is charged with conducting under the Dodd-Frank Act,...

  • Custody: Why You May Actually Have It

    Thomas D. Giachetti

    Sweeping amendments to the Securities and Exchange Commission's custody rule 206(4)-2 became effective March 12, 2010, and will substantively impact significantly more advisors than imagined...

  • The Future of 12b-1 Fees

    Staff Writer

    On July 21, 2010, the SEC voted to rescind Rule 12b-1 in its entirety and replace it with a new rule, Rule 12b-2. What does this...

  • Friends in Need?

    Mark Tibergien

    You can use outside investors to help finance your growth plans. Firms such as Asset Management Finance (AMF) and Fiduciary Network LLC, for example, have...

  • Ready to Grow Again

    Dan Inveen, Eliza De Pardo

    In 2009, revenues dropped 9.5% and operating profit shrank seven percentage points to an 11% margin for the typical independent advisory firm, according to the...

  • Using OPM to Grow AUM

    Mark Tibergien

    Advisory businesses deploy two types of leverage to accelerate their growth: operating leverage, which builds off infrastructure, technology, and other people's labor (OPL); and financial...

  • Jewels in the Crown

    Savita Iyer-Ahrestani

    Under the blazing summer sun, a long line of BMWs and Mercedes Benzes glide up outside the luxurious DLF Emporio mall in the Indian capital,...

  • Past, Present, Future

    Mike Patton

    The year was 1980. Chrysler was rescued, CNN was launched, the Dow began the year at 824 and Investment Advisor published its first issue. Today, Chrysler...

  • When Business is Personal

    Lewis Schiff

    When it comes to employing relatives, having rules in place--such as a family constitution-can help the family business run professionally. But how many family businesses...

  • Tom Bradley's Vision for the Future

    John Sullivan

    2010 marks the silver anniversary for Tom Bradley, the outspoken head of TD Ameritrade Institutional. Reflecting on his tenure with the company and the RIA...

  • Dissecting the FSI's Position on Fiduciary

    Melanie Waddell

    The Financial Services Institute (FSI) has become, in essence, the red-headed stepchild in the fiduciary debate among advisory trade groups. FSI believes the Securities...

  • Billion-Dollar Service

    Danielle Andrus

    "We are the world's best high-net-worth wealth advisory firm." That's the elevator speech of Eric Kramer, founder and principal of Crestone Capital Advisors LLC in Boulder,...

  • Show Yourself the Money

    Angie Herbers

    I had a former client who constantly complained about his income and the profitability--or lack thereof--of his practice. He had good reason to be unhappy:...

  • The Empire Steps Up

    Bob Clark

    Readers of this column know I haven't been a big fan of the CFP Board and its leadership of the Financial Planning Coalition during Washington's...

  • Ten Top Ways to Engage Clients Now, Part II

    Ray Sclafani

    Last month, we discussed how the best advisors are engaging their clients now--a necessity, as many high-net-worth people are re-evaluating their relationship to money,...

  • A Decade of Evolution

    Maya Ivanova

    The RIA business has evolved significantly over the past decade. Many important influences are re-shaping the advisory business, even beyond the industry's response to the...

  • Catching up with... Robert Bigelow

    John Sullivan

    State and municipal budgets are running historic deficits, and from the steady diet of less than appetizing economic news, are unlikely to rebound anytime soon....

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