Investment Advisor-September 2009

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  • What Representatives Wish For

    James J. Green

    On the ballot each year, the Investment Advisor editors ask voting representatives to tell us what products or services they wish their current broker/dealers offered,...

  • Regaining Trust

    Olivia Mellan

    Drawing on 30 years of research and experience, Drs. Dennis and Michelle Reina of the Trust Building Institute in Stowe, Vermont, have developed an approach...

  • Numerology: Kids Ain't Cheap

    James J. Green

    Those same friendly people who brought you the Food Pyramid have been tracking the cost of raising a child since 1960, and not surprisingly, it's...

  • Upgrades

    Staff Writer

    Fidelity Investments has followed up the announcement of its partnership with Kohlberg Kravis Roberts under which Fidelity's retail and institutional brokerage have access to IPOs...

  • Easier Said Than Done

    Angie Herbers

    It's not hard to think up how a firm, any firm, could be better organized. The trick--and it's a big one--is to actually make the...

  • Broker/Dealer News

    Staff Writer

    The Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...

  • Changes

    Staff Writer

    ? Sallie Krawchek, most recently CEO of Global Wealth Management at Citigroup, has joined Bank of America to run Global Wealth and Investment Management and...

  • Soapbox: Forget the Benchmarks

    Steve Weydert, CFP, MS

    For years, many investors and advisors have measured success by whether they "beat the benchmarks." However, last year's market collapse revealed the stark pitfalls of...

  • Group Think

    Staff Writer

    ? The American Association for Long-Term Care Insurance has launched an online LTC Learning, Marketing & Sales Center as part of its Producer's Resource Center....

  • Not So Fast

    Melanie Waddell

    Over the past few months there has been, at least anecdotally, a rush of wirehouse brokers moving to the independent space, either as employees in...

  • How the Representatives Voted

    James J. Green

    The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on...

  • Retirement News

    Melanie Waddell

    According to an analysis of Federal Reserve data published recently by the Employee Benefit Research Institute (EBRI), median asset levels in defined contribution (401(k) and...

  • Venture Populist: Variable Liquidity

    Jeff Joseph

    In last month's column, I posited that private investments in venture and early-stage companies are ideally characterized by their potential for positive asymmetrical outcomes (PAO),...

  • Broker/Dealer of the Year, Division I

    Staff Writer

    Prospera Financial Services President: David Stringer Candid quote from a Prospera rep: I've been solicited by various B/Ds at least once a year since joining Prospera. None of...

  • The Three Questions

    Staff Writer

    The signature exercise that Kinder's Institute of Life Planning conducts at its workshops to help an individual discover what's most important to them is to...

  • Tortoise or Hare

    Philip Palaveev

    When it comes to which business model--a corporate owned advisory firm or a partnership--is most appealing to investors and which to advisors, it's clear that...

  • Broker/Dealer of the Year, Division II

    Staff Writer

    The Investment Center President and CEO Ralph DeVito Candid quote from an Investment Center rep: I have never had any problems with The Investment Center, and would not...

  • Broker/Dealer of the Year, Division III

    Staff Writer

    Sigma Financial Corp. President and CEO Jerome Rydell Candid quote from a Sigma rep: There are no unsurmountable obstacles at Sigma, just minor speed bumps. Founded: 1983 Producing Reps: 599 2008...

  • Where Representatives Would Go

    James J. Green

    This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate....

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Sam Stovall Inflation should not be a major concern of the economy in the current environment, noted Sam Stovall, S&P's chief investment...

  • Mightier Than The Sword

    James J. Green

    If we needed any more proof of the power of the language, I present as Exhibit A the townhall meetings on healthcare reform. Full of...

  • SEC Bulks Up Enforcement

    Melanie Waddell

    The Securities and Exchange Commission (SEC) is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to...

  • Share and Share Alike

    Bob Keane

    With 35 years experience in the business, Dan Deighan can rightly claim to be one of the independent advisory profession's pioneers. Although ownership of the...

  • The Fast Track: All The King's Men

    Angie Herbers

    In recent columns, I've written about how we emphasized three unique strengths--extreme delegation, niche focus, and operational efficiency--to build three extremely successful advisory practices. Now,...

  • Clark at Large: These Guys Are Good

    Bob Clark, Bob Clark

    Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory...

  • Formulas for Success: In The Absence of Value

    Mark Tibergien

    Traditional business wisdom holds that pricing becomes a factor when value comes into question. A combination of economic drivers has created a challenge for the...

  • Insurance Update: An Asset to Planning

    Marlene Y. Satter

    A specialized insurance product that offers long-term care coverage in addition to life insurance is gaining in popularity, according to the American Association for Long-Term...

  • Way Up

    Mike Patton

    There are many different approaches advisors utilize when managing money for clients. Some adopt a passive strategy buying only the indexes while others pursue alpha...

  • Expert's Corner: It Beats Getting Sued

    Thomas D. Giachetti

    In connection with the recent economic and market meltdown, we have seen a significant increase in arbitration claims filed against fee-based investment advisors. So, what...

  • Media Star

    Bob Keane

    When watching the business news channels on cable television many advisors seeing an "expert" pontificating about the latest financial crisis are likely to think, "I...

  • The Green Advisor: The Wave Is Rising

    Bob Keane

    Environmentally-conscious investing is still a minuscule part of the overall financial services universe, but it's a segment that edges closer and closer to the mainstream...

  • The Psychology of Advice: Betrayal of Trust

    Olivia Mellan

    It seems sometimes that we're living in an era of betrayal. Renowned money managers, senior elected officials, and Fortune 500 corporate leaders seem to betray...

  • Danger & Opportunity: Futures Education

    James J. Green

    You've all heard the common wisdom about investing in 2008, and perhaps you've even said it yourself: Diversification didn't work in 2008, because in that...

  • Pensions, Social Security Face Challenges

    Melanie Waddell

    Pension plans' funded status and the outlook for Social Security continue to appear bleak. A new study by global consulting firm Mercer has found that after...

  • Alternative Uptick Rule

    Melanie Waddell

    The SEC announced August 17 that it is seeking public comment on an alternative approach to short selling price test restrictions that the Commission says...

  • About The Planner

    Bob Keane

    Dan Deighan CEO, Deighan Financial Advisors 47 West New Haven Avenue, Suite 101 Melbourne, Florida 32901 Phone: 321-728-3888 E-mail: info@deighanfa.com Web site: www.deighanfa.com Year firm founded: 1974 Number of people in firm: 14 Number...

  • Broker/Dealer of the Year, Division IV

    Staff Writer

    Woodbury Financial Services Chairman and CEO Brian Murphy Candid quote from a Woodbury rep: This is my fourth B/D, and the first I've been with that had all...

  • Fiduciary Committee Huddles with SEC

    James J. Green

    The Committee for the Fiduciary Standard, which includes WealthManagerWeb.com Editor in Chief Kate McBride, held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury...

  • Value Versus Growth

    Mike Patton

    Over time, value stocks have outperformed growth stocks and have done so with a lower standard deviation (see first table below). The coefficient of variation...

  • Catching Up With: Kim Wright-Violich

    James J. Green

    Schwab Charitable, the donor advised fund from Charles Schwab & Co., announced in early August that it had expanded the underlying investment options in its...

  • Tactical Versus Strategic

    Mike Patton

    In strategic asset allocation, long-term capital expectations are integrated with a client's goals and a target allocation is established. With tactical asset allocation, adjustments are...

  • Who Representatives Voted For

    James J. Green

    Here are the first, second, and third place winners in this year's balloting as picked by the 3,577 validated voters in our 19th annual readers'...

  • B/D Briefing: Ramping Up Technology

    Bob Keane

    As the financial services landscape reshapes itself, the largest clearing firms have been working to enhance their offerings to broker/dealers on a number of fronts,...

  • Win-Win

    Philip Palaveev

    The natural state of a true investment advisory firm is a privately owned partnership that is fully controlled by the professionals who are actively involved...

  • Chosen: 2009 Broker/Dealers of the Year

    James J. Green

    These are interesting times. If you think you have it tough as an independent advisor, imagine for a moment that you are running an independent...

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