Investment Advisor March 2011

Betting on the Bond Bubble

By Mike Patton

What’s the difference between tulips, the South Sea Company, stocks in the Roaring Twenties, Japan’s Nikkei in the 80s, the NASDAQ 90s, the recent housing boom, the current price of gold—and bonds?

Jerry Jordan's Napoleon Complex

By John Sullivan, AdvisorOne

“It’s hard to get big when you’re small, because nobody wants to invest with somebody who’s small,” says Jerry Jordan, portfolio manager of the Jordan Opportunity Fund, when asked about his status as an overlooked manager.

Speaking Truth to Power: How Followers Really Lead

By Olivia Mellan

During the 25-plus years I’ve known Ira Chaleff, I’ve become increasingly impressed with the pioneering nature of his work.

Growing Choice, Shrinking Globe

By Savita Iyer-Ahrestani, AdvisorOne

Question: How do you invest in a country that you know has opportunity, but you’re not that familiar with?

Creating a Business Plan (You Will Actually Use)

By Jim Komoszewski

“Practice management” could be the greatest buzzword of the decade in the financial planning industry.

SEC and the Fiduciary Study: The Process

By Kathleen McBride, AdvisorOne

In January, the SEC released its fiduciary study under Dodd-Frank. We timeline how the issue of extending the fiduciary standard to all advice givers developed.

Being Rick Ketchum

By John Sullivan, AdvisorOne

This job affords me the opportunity to “live other lives;” to see both sides of an issue in all its selfish and selfless glory.

House, Senate Hearings Next on Fiduciary

By Melanie Waddell, AdvisorOne

Within a month or so, the House Financial Services Committee will begin holding hearings on the Securities and Exchange Commission’s (SEC) report regarding fiduciary duty, which was mandated under Section 913 of the Dodd-Frank Act and handed to Congress on Jan. 21.

Catching up with… Kristi Mitchem

By John Sullivan, AdvisorOne

Retirement income and what to do about it … the perennial subject that always gets advisors talking.

Quantitative Methodology ETFs Search for Better Performance

By Vaughan Scully, Standard & Poor's

ETFs owe much of their success to providing investors with exposure to asset classes that have been difficult for them to access in the past.

Putting a Price on a Promise

By Jeff Joseph

Last month, we identified the typical ranges of equity that private venture investors end up with as the result of their “seed stage” investment, and the subsequent “Series A” round.

Asset Allocation: March 2011

By Editorial Staff

Multiple Choice

By Mark Tibergien

Every so often the trade publications feature a rash of articles about the success of roll-up firms focused on consolidating financial advisory practices.

SEC Fiduciary Rule May Hit by Summer

By Melanie Waddell, AdvisorOne

Despite the advisory industry’s hopes that the Securities and Exchange Commission (SEC) would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.

A Study in Flexibility

By Bob Clark, AdvisorOne

Now that the euphoria that followed the SEC’s Study on Investment Advisors and Broker-Dealers has waned a bit, it’s time to take a more somber look at what this much-awaited document says.

Protect Affluent Clients’ Data—and Privacy

By Lewis Schiff

We read about all the large data lapses in the news—credit card info for thousands of TJ Maxx customers stolen, Countrywide losing mortgage application data for thousands of people, etc.

A Star is Made

By Angie Herbers

When it comes to hiring junior advisors, virtually every advisor I’ve ever seen wants to hire a star: some youngster with a resume’ that will knock your—and their—stocks off.

More Employers Offer Help Meeting Retirement Goals

By Danielle Andrus, AdvisorOne

A survey released Wednesday by Aon Hewitt found employers may be trying to save employees from themselves.

FSI OneVoice 2011: FINRA CEO Ketchum Defines Fiduciary as It Applies to BDs, Advisors

By John Sullivan, AdvisorOne

The FSI’s OneVoice 2011 conference kicked off in Phoenix Monday night with a Q&A session moderated by Dale Brown, FSI’s CEO, featuring Richard Ketchum, FINRA's CEO.

Get Your Clients Online and Stand Out

By Dan Skiles

For many advisors, the need for an online strategy was not top-of-mind until the last couple of years.

Get Form ADV Right

By Thomas D. Giachetti

The new Form ADV Part 2A, or Brochure, shall take the place of an investment advisor’s old ADV Part 2 and Schedule F.

Ten Marketing Strategies for New Advisors

By Peter Montoya

There seems to be a split perception on how “good” it is to be in the business right now.

In Emerging Markets, Proof of Progress Is Key

By Dr. Lewis Altfest

Emerging markets are on every investor’s lips, and why not?

Marketing Implementation: The Advisor’s Role and the Importance of Delegation

By Joni Youngwirth

Advisors frequently express the desire to do more marketing.

A Star-Crossed Tale

By Marlene Y. Satter, AdvisorOne

On Jan. 27, Allstate Insurance thought it would have some fun with a story that had come out just a couple of weeks before about changes in people’s zodiac signs.

Time to Move?

By James J. Green, AdvisorOne

If there’s one theme in the industry that nearly everyone seems to share, it’s that the time is right, now, for the movement of advisors and their clients’ assets.

Target-Date Funds’ Subjective Objectives

By Steve Weydert, CFP, MS

Until now, fund companies, rather than employers, have set unrealistic objectives that call for high equity exposure, translated to high fees.