Investment Advisor April 2011

Dollars and Dissent: What Regime Changes in MENA Countries Mean for Investors

By Savita Iyer-Ahrestani, AdvisorOne

Few would disagree that the uprisings that ousted the leaders of Tunisia and Egypt have underscored the pressing desire of the people there for democracy, transparency and the right to a more equitable life.

A Class Apart: The 2011 SMA Managers of the Year

By John Sullivan, AdvisorOne

Extraordinary due diligence and a history of success set 2011’s best SMA managers of the year apart from the crowd.

Restoring Trust: Seven Steps to Restore Confidence

By Olivia Mellan

Years ago, I attended a workshop given by Jean Houston called “The Sacred Wound of Betrayal.”

The Equal Weight Evangelist

By John Sullivan, AdvisorOne

Tony Davidow has a tough job.

RIA Operations: Structure Capacity to Meet Demand

By Eliza DePardo, Dan Inveen

In February 2011, Borders Group, the second-largest bookstore chain in the United States, filed for bankruptcy.

SEC and the Fiduciary Study: Politics and the Fiduciary Standard

By Kathleen McBride, AdvisorOne

For a moment in fall 2009, it seemed that the Democratically controlled U.S. House of Representatives and Senate would duel over who could pass a stronger fiduciary standard.

The Path to Authentic Client Service

By Steve Luckenbach

In an unsettling commentary on the state of our business, financial services tied with tobacco as being among the lowest-regarded of all industries.

SEC Funding in the Budget Fight Crosshairs

By Melanie Waddell, AdvisorOne

At press time, the Senate was preparing to vote on competing Democratic and GOP bills to fund the government for the rest of the year.

Catching Up With ... Jeff Auld

By John Sullivan, AdvisorOne

Talk about trial by fire; Jeff Auld left Berthel Fisher Financial Services to head what was then AIG Financial Advisors in July 2008.

ETFs and Liquidity: A Primer

By Tom Lydon

An Appetizing Investment

By Jeff Joseph

An advisor recently wrote me to inquire how to best illustrate that the start-up restaurant investment his high-net-worth client was contemplating was a bad idea.

Asset Allocation: April 2011

By Editorial Staff

If oil prices don’t go above $150 per barrel, it could be a good year, with mid- to high-single-digit growth in the S&P.

The Solicitor’s Apprentice

By Mark Tibergien

One of the top concerns for advisory firm owners is growing revenue.

GOP’s End Game in Nixing SEC Funds: Stopping Dodd-Frank

By Melanie Waddell, AdvisorOne

The Securities and Exchange Commission’s reputation as a credible regulator may never fully recover from the Bernie Madoff Ponzi scheme.

Boring No More

By Bob Clark, AdvisorOne

Over the past couple of years, retail portfolio management has undergone a self-examination not seen since the mid-1980s.

Now Cultures and No Cultures

By Angie Herbers

In reflecting back over the advisory practices I’ve worked with, I’ve realized that problem employees clearly fall into two camps.

And the Pass Is Incomplete

By Olivia Mellan

It’s wonderful to see so many billionaires pledging to share their wealth with charity.

Does the Federal Government Have a Future in Annuities?

By Danielle Andrus, AdvisorOne

Professors Terrance Odean and Henry T.C. Hu have proposed a new kind of annuity; a product offered not by insurers, who can't promise they'll still be around to make payments, but by the federal government.

How Good Is Your Phone System?

By Dan Skiles

Phone systems have not historically been the most exciting technology available to advisors.

Dodd-Frank: An Overview Of Pending Changes For Investment Advisors

By Thomas D. Giachetti

Matchers and Mismatchers: How to Work with Impossible Clients and Coworkers

By Peter Montoya

Are there people in your life who just won’t agree with you—no matter how sound your argument?

Making the Case for Midsized Broker-Dealers

By Jonathan Henschen

Over the course of the last year, fraudulent alternative investments have brought down not only small broker-dealers but also midsized firms such as QA3.

To Ask or Not to Ask? Develop an Effective Referral Strategy in a World of Contradictory Advice

By Joni Youngwirth

If asking for referrals is the fastest, least expensive, most effective way to get new clients, why don’t more advisors proactively do it?

Breaking Trail

By Marlene Y. Satter, AdvisorOne

What if your client’s property/casualty insurer became a partner of sorts, offering the usual advice about risk mitigation and loss prevention?

An Alternative to FINRA Oversight

By Steve Weydert, CFP, MS

The SEC, like any organization, likes to protect its own turf.

Nixon and China, Obama and Retirement?

By James J. Green, AdvisorOne

Nixon and China. Johnson and civil rights. Reagan and glasnost. There’s a long tradition of our nation’s leaders taking bold steps to change the national dialogue.