Investment Advisor December 2012

Finding Safe Harbour: How a Small BD Is Doing It Right

By John Sullivan, AdvisorOne

“We don’t think we’re any smarter than anybody else,” David Rosenow humbly began. “It’s just maybe we’re better listeners at times.”

The American Way: Retirement Planning With a (Not Very) Overlooked Manager

By John Sullivan, AdvisorOne

We understand the confusion readers have expressed over some of the funds we’ve deemed “overlooked.”

Rise of the ETF Asset Managers

By Ryan Issakainen

As an ETF strategist, much of my time is spent parsing the differences between funds in an ever-increasing universe of exchange-traded funds (and other ETPs).

A New Way to Buckle Up: Convergent and Divergent Strategies

By Jon Sundt

After his “sure bet” against the deutsche mark temporarily wiped him out in 1920, John Maynard Keynes famously quipped, “The market can stay irrational longer than you can stay solvent.”

Are All Partners Equal?

By Mark Tibergien

You have heard the saying that the fastest way to ruin a friendship is to become partners. Unfortunately, many advisors in ensemble practices can relate to this adage.

High-Ticket Item: Is the CFP Board's Awareness Campaign Working?

By Bob Clark, AdvisorOne

Will the CFP Board’s $40 million public awareness campaign really drive investors to financial planners? The data so far seems encouraging.

CFP Board Chairman Goldfarb’s Resignation Raises Questions

By Melanie Waddell, AdvisorOne

It was an unexpected—and shocking—announcement: Alan Goldfarb, chair of the CFP Board’s board of directors, resigned in early November along with two members of the Board’s Disciplinary and Ethics Commission (DEC).

Home Grown: Talent Tips From K-State’s Football Coach

By Angie Herbers

In my work, I have found that most advisory firms have a lot to learn from Kansas State football coach Bill Snyder about recruiting employees and preparing them to succeed.

Transformational Philanthropy: Cam Thornton on Benefits to Clients and Advisors

By Olivia Mellan

Adopting Your Legacy Foundation's approach to wealthy families and philanthropy provides benefits to clients, their families and advisors. Cam Thornton explains "transformational philanthropy."

Email Fraud—Protect Your Clients and Your Firm

By Dan Skiles

Unfortunately, the number of attempts by thieves trying to steal your clients’ money is increasing every day.

The Dangers of Complacency on Compliance

By Thomas D. Giachetti

It's critical that an advisory firm’s CCO keep abreast of all regulatory and examination changes, but even more critical for senior management to support the compliance process.

In Insurance We Trust—Too Much?

By Marlene Y. Satter, AdvisorOne

Trusts often rely on insurance policies for a variety of purposes, and if trustees do not actively manage those policies, it could cause trouble for both trust and trustee.

Can the Eurozone Survive a Stormy 2013?

By Virginie Maisonneuve

The eurozone and its politicians continue to face many unresolved and highly important issues.

American Paradox

By James J. Green, AdvisorOne

Why Your Continuity Plan Is More Critical Than Your Succession Plan

By Kirk J. Hulett, MS, Securities America Financial

Succession planning has been a hot topic in the industry for the past couple of years.