Investment Advisor January 2012
Features
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Decade Horribilis
Even veteran investment professionals, those who have been in the business for decades, are not shy to say that the 2001–2011 period was probably the worst time they have ever been through.
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Managing Volatility With Managed Futures
Ben Warwick took so long to begin to answer our first question about the benefits of managed futures, we wondered if he was multitasking.
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Sounding the Alarm
Lately an advisor can rarely open a trade publication without coming across at least one article focusing on succession planning.
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Finding the Right Safety Net
When changing broker-dealers, transition time is typically brief—only one or two months.
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Rising Tides
As with the rest of the country, the financial planning profession is graying, and the entrance of 20- and 30-something young professionals is causing a substantial shift in the makeup of the work force.
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The Advisor's Advocate
The beginning of a new year is always a good time to catch up with Dale Brown, president and CEO of the Financial Services Institute.
Beginnings
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I Would Not Feel So All Alone
My father retired to Florida after 40 successful years as an advisor.
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Frank Not Acting Like Lame Duck; No Fan of SRO Bill
Rep. Barney Frank, the straight-talking Massachusetts Democrat who serves as ranking member on the House Financial Services Committee, announced in late November that he won’t seek re-election and plans to retire from Congress at the end of 2012.
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Six-Word Strategy: Catching Up with Jeff Montgomery
Just so we’re clear, AFAM stands for Al Frank Asset Management.
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Why Age Matters in Entrepreneurship
I am an investor in and director of an ambitious new retail venture.
Columns
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Occupy Main Street
Every business impacts five constituencies: its clients, stakeholders, vendors, employees and community.
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New Year, New Fiduciary Rule?
While SEC Chairman Mary Schapiro said in mid-December comments first reported on Bloomberg that the agency would issue a proposed fiduciary rule this year, she also stated in the Bloomberg interview that a fiduciary rule proposal will be “business model neutral” and allow brokers working with retail investors to sell...
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What’s in a Plan?
“In our view, transitioning control and management of [advisory] firms from founding owners to a new generation will prove to be the single most challenging issue for advisory firms over the coming decade.”
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Six Mistakes Most Managers Make
A big part of my motivation to create the P4 principles that were covered in the November 2011 issue of Investment Advisor (“Let Go to Grow”) was watching my owner/advisor clients make the same employee mistakes over and over, never questioning their methods and greatly diminishing the success of their...
Conclusions
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Behavioral Economics: Your Own Worst Enemy
Emotional investing, performance chasing and any other term we might use to describe investors’ penchant for harming themselves isn’t a new—or particularly insightful—concept on its face.
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Five Tech Steps to Start 2012 Right
Moving from one year to the next provides a natural opportunity to evaluate and plan.
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The Large Trader Rule
Just when you thought there couldn’t be any more forms to complete, we have yet another one from our friends at the SEC—the new Form 13H.
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Choosing a Cloud-Based Platform
All the buzz about cloud computing has many financial advisors perking up their ears and wondering how cloud computing can benefit them.
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Have Your Cake and Eat It Too
The variable annuity (VA) party has returned to the dance floor, where some companies step forward as others step back.
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Corzine, Madoff and ‘Good’ Advisors
I felt bad for Jon Corzine as he took his (subpoenaed) seat at a House Agriculture Committee hearing on Dec. 8.
Sidebar Stories
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Scoring a Couple’s Retirement Readiness
How well are couples communicating with each other about retirement?
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Helping Couples Get More in Sync
How can couples communicate more effectively about retirement issues?
Sponsor
Showcase
Actionable insights to help you make better global investment decisions.
Event Spotlight
Think Retirement Income
October 10-11, 2013
Hyatt Regency, Boston, MA
The Retirement Income Symposium has a fresh, new look…welcome to the new and improved RIA Think Retirement Conference. We’re offering the same top-notch educational and networking opportunities to all RIAs, while still paying special attention to the challenges, and opportunities, of offering retirement incomes advice.
For more information, visit www.thinkretirementincome.com.
Resource Library
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Complimentary White Paper: "Strategies on Advising Couples"
Grow your practice by rethinking how you view, interact and approach investment decisions when working...
Breaking up is hard to do
Love being a financial advisor? Not getting what you need from your current firm? Hear...
The Best of Both Worlds with Century Securities
Our independent affiliates enjoy the freedom to make important choices and the professional resources of...
Advisor Tools
Business Evaluator
The Business Evaluator tool is designed to educate advisors on career options. Get recommendations unique to your situation as the Business Evaluator intuitively guides you through exploring a change.
