Turning the Tables
By Staff WriterThe clich? about being "on the same side of the table" as the client is about as old and tired as they get in the...
June 01, 2004
On The Road, And In PrintWhen they're not sharing their pearls of wisdom in print with IA readers, our columnists still find plenty of ways to keep busy. Larry Chambers was...
June 01, 2004
Screening ProcessReps interested in moving to another B/D should consider compliance when they make their choices. Dennis Kaminski, chief compliance officer at Mutual Service Corp., suggests...
June 01, 2004
About The ManagerKevin Baum calls his position as manager of the Oppenheimer Real Asset Fund a great combination of his two loves--investment markets and commodities. How does...
June 01, 2004
Checking In With Mark SpanglerThe former chairman of NAPFA, a private equity investor, and president of Seattle-based Spangler Financial Group, Mark Spangler currently has some $100 million under management....
June 01, 2004
What I Learned in CanadaI learned at least two valuable lessons while attending the National Association of Personal Financial Advisors conference in Toronto. To wit: 1) Canadians have a good...
June 01, 2004
Marnie AznarMarnie Aznar Aznar Financial Advisors 14 Raymond Road Morris Plains, NJ 07950 Phone: 973-540-8850 Fax: 973-755-9196 www.aznarfinancialadvisors.com [email protected] Year practice began: 1999 Number of advisors in office: 1 Number of clients: 45 Compensation method(s): Fee-only (annual...
June 01, 2004
A Chilling Effect?One of the main arguments against the newfound vigilance of the SEC presented by many smaller RIAs is that the rules are more appropriate for...