Investment Advisor June 2012
Cover Story
What Are Advisors Doing Wrong? Ask 3 Simple Questions
Three simple questions are all it takes when evaluating money managers, yet Rupal Bhansali says they’re three questions too often overlooked by advisors and clients alike.
Features
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Pursuing Practice Excellence: The Advisor Perspective
In the first of a series of reports by the Investment Advisor Group and ActiFi on our breakthrough practice management study, advisors told us their needs and which partners they rely on—and don’t—for practice management solutions.
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Power in Practice: A Coaching Program to Last a Career--Part II
For participants in Power in Practice, an in-house business coaching program offered by Commonwealth Financial Network, the course can sometimes feel like drinking from a fire hose.
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Five Facets of a Secure Retirement
There are two primary risks typical investors face in managing their retirement portfolios.
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Managing Through the Micro-Cap Mania
If you think the small-cap space has had a wild ride recently, try micro caps, and then get your head around the following boast Michael Corbett makes about one of the funds he manages.
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Smaller Pieces Make a Bigger Pie
Across all stages of development, better-performing advisory firms distribute equity more broadly among their team members.
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The 2012 Broker-Dealer Presidents’ Poll
Investment Advisor magazine asked the presidents at top broker-dealers about challenges to their business, their reps and their futures.
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Investment Advisor’s 2012 Broker-Dealer Reference Guide
Europe, regulation, margin squeeze, market volatility, succession planning and … oh yes, the day-to-day pressures of running a business.
Beginnings
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The Endangered Perma-Bear
Whatever you do, don’t call Jeff Gundlach pessimistic.
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Bachus Reintroduces SRO Bill
House Financial Services Chairman Spencer Bachus reintroduced in late April his draft bill calling for a self-regulatory organization (SRO) for advisors.
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Touchstone’s Steve Graziano on Martinis, Growth and the Case for Subadvising
After an 18-year stint at Pioneer Investments, Steve Graziano was ready for retirement and an easy transition into teaching.
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Assessing the New Generation of ETFs
Over the past decade, the ETF industry has expanded dramatically, not only in assets under management, but in product innovation as well.
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Learning the Hard Way
The venture capital fund industry is reeling from a report issued by the Kauffman Foundation last month.
Columns
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Growth and Austerity
The economic story unfolding in Europe raises questions for all business leaders.
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Busy Agenda for FPA, Starting With Membership Drop
I recently sat down with two leaders of the Financial Planning Association—Marv Tuttle, executive director and CEO, and Paul Auslander, FPA’s president—to talk about the top issues facing advisors.
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Kindred Spirits
In the nearly 30 years that I have been covering financial advisors, the fundamental problem hasn’t changed: Delivering client-centered advice isn’t as profitable as selling products.
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The Six-Week Solution to Succession Planning
Although the stock market is still struggling, there’s one market in America today that is climbing to new highs almost daily: the market for experienced junior advisors.
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When Your Own Skills Aren’t Enough: Psyche, Hearth and Children
More and more clients are looking for life solutions these days.
Conclusions
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Seven Misconceptions About ESOPs
A treasure trove of baby boomer assets are buried in business ownership.
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Is Your Technology Up to Date or Out of Touch?
From a technology perspective, it truly is a great time to be an advisor.
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Fiduciary Duty: Best Practices for Fulfilling Suitability Obligations
In 1963, the Supreme Court held in SEC v. Capital Gains Research Bureau Inc. that the '40 Act imposes a fiduciary duty on investment advisors. What are you doing to maintain suitability standards with your clients?
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Commercial Real Estate: An ‘Alternative’ Goes Mainstream
Institutional investors have long recognized the advantages of including commercial real estate (CRE) in a balanced portfolio.
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You Must Remember This
In October 2011, Glenn Neasham of Lakeport, Calif., was convicted of felony theft from an elder for selling an Allianz indexed annuity to 83-year-old Fran Schuber.
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Build Your Own Buzz
“Why,” asked a noted advisor, “is there not more of a buzz about these regulatory changes that will affect all our lives?”
Sidebar Stories
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Pursuing Practice Excellence: The Study
Over the past six months, the Investment Advisor Group has partnered with ActiFi Inc. on what we humbly consider to be a breakthrough research study about advisor practice management.
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Defining Practice Management: The Advisor Perspective
When advisor participants in the “Pursuing Practice Excellence” study were asked to provide a two- to three-sentence description of what practice management means to them, these are the words most often used:
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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
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