Investment Advisor August 2012
Cover Story
Beyond the Buzzwords
“You are here today as part of a culmination of a nearly year-long effort and partnership between Investment Advisor and ActiFi,” said Investment Advisor Group Editorial Director Jamie Green.
Features
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Pursuing Practice Excellence: Where Advisors and Their Partners Part Ways
Advisors rely on their partners to run their businesses, and many financial services businesses count advisors as key clients. So why aren't advisors and their partners on the same page when it comes to what works and what doesn’t in practice management?
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How to Succeed at Referrals (Without Even Asking)
Why don’t we do a better job of generating referrals? Marketing coach Stephen Wershing thinks we’re not going about it the right way.
Beginnings
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Unleash the Hounds
By hounds, we mean lawyers; not that we’re necessarily comparing lawyers to dogs, but the former do have something of a Pavlovian response to new regulation and the potential “opportunity” it affords … we’ll leave it at that.
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SEC, NASAA Tell Small Businesses: Wait to Join the ‘Crowd’
The SEC and state regulators are warning small businesses and entrepreneurs to hold off on crowdfunding.
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Northern Trust Swoops Into ETFs
When you think of Northern Trust, you probably don’t think of ETFs, but that’s about to change. ETF group head Shundrawn Thomas talked to AdvisorOne about how taking on the big guys isn't as hard as one might think.
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The Hidden Tax Burden of MLP ETFs
In an environment of persistently low interest rates, investors have increasingly looked beyond traditional fixed income investments toward other income-producing alternatives.
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Challenges and Opportunities in the JOBS Act
Provisions within the JOBS Act present advisors with a number of new challenges and opportunities for high-net-worth clients, as the legislation increases access to several alternative private investment structures.
Columns
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X + Y = Greater Value
If I were buying a financial advisory firm, I would discount the firm’s value based on the number of clients and staff over the age of 55.
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Borzi on the Hot Seat, Again
Phyllis Borzi is once again feeling heat—this time from House Democrats—over her insistence on including individual retirement accounts (IRAs) in the Department of Labor’s reproposed fiduciary rule.
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Inside Information
I’ve never been a big fan of focus groups.
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Stress for Success, Pt. 1: How to Handle the Stress of Running a Small Business
The real value I bring to my owner/advisor clients is helping each of them to deal effectively with the challenges of managing and growing a service business. The most critical of those challenges is dealing with stress.
Conclusions
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Transitioning the Family Business for Retirement
Because these transitions are complex, involving many different experts, financial planners need to know when to take the lead.
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Tech Questions for Summertime
August is my favorite time of year for new projects. More specifically, it’s a good time to ask, “What technology areas require more research before we pull the trigger?” To get started with this exercise, allow me to recommend some ideas.
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Due Diligence: An Advisor’s Obligation
Due diligence—how much is enough?
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Europe: What Now?
Europe has avoided—for now—the drama of a Greek exit from the euro thanks to Greece electing a party that broadly backs its bailout terms.
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Broker Suitability Rule Takes Effect
A new FINRA rule on suitability of recommendations by brokerages and brokers to customers—and to prospective customers—took effect on July 9, and with it come a number of issues of which firms and advisors alike need to be aware.
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The Benefit of Transferring Wealth by Year-End
The real value of making a large gift now—with gift- and estate-tax rates slated to rise on Jan. 1—is not simply getting millions out of a client's estate; it comes from getting the future growth of the wealth out of that estate.
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Protecting the Family Jewels
Whether your clients are decked-out glitterati or simply treasure Great-Grandma’s pearls, here’s what you should know.
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Brokers Manage Products; Investment Advisors Manage Process
The absurdity of suggesting that investment advisors and broker-dealers often provide “indistinguishable services” demonstrates a stunning depth of misunderstanding regarding the two industries.
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Pursuing Practice Excellence: The Conversation
At Investment Advisor, we like to think that we do a pretty good job covering practice management.
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Event Spotlight
Retirement Income Symposium
October 10-11, 2013
Hyatt Regency, Boston, MA
The symposium provides practical, innovative solutions to current industry challenges and provides advisors clear, actionable strategies that they can utilize to address their clients' needs.
Resource Library
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Working Smarter: Engaging Prospects And Clients Through Social Media
For financial advisors, social media represents a powerful addition to traditional marketing and networking activities....
Complimentary Copy of "Winning Advantage: The Financial Advisor Playbook for...
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