Investment Advisor May 2011
Cover Story
Follow the Leaders: The 2011 IA 25
In the nine years that Investment Advisor has published the IA 25, we’ve never ranked the 25 in the order of their importance.
Features
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Fair Play: The Fight Over Rule 206(4)-5
On March 14, the Securities and Exchange Commission’s “pay-to-play” rule, officially known as the Advisers Act Rule 206(4)-5, went into effect.
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Shared Sorrow, Shared Strength: Rebuilding Japan
The resilience of the Japanese people in the face of the great tragedy that befell them has been extolled in the media.
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SEC and the Fiduciary Study: Where Do We Go From Here?
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The Value of Experience
Forty years in the business means Rich Howard can tell a lot about a company from a simple phone call.
Beginnings
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(W)reckoning Day
Advisors have the unique ability to explain macro events to the micro client in a way they can easily understand.
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Catching up with… Joe Richard
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An Appetizing Investment: Second Course
In last month’s column we turned our lens toward one of the more populist venture investment opportunities—the restaurant business.
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So, Your Client Wants to Own Gold ETFs?
For centuries, gold has been seen as a safe haven and a store of value.
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UBS to Pay FINRA Fine and Restitution to Investors in Lehman PPNs
News
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SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors
The SEC says that while it will adopt final rules by July 21 implementing three provisions of Dodd-Frank involving the “switching” of advisors to state registration, as well as private fund and venture capital fund advisors’ registration with the SEC, the agency will also lengthen the date for complying with...
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Advisors Beware: The Downside of Behavioral Finance
Behavioral finance is very much in vogue these days, and many advisors across the nation are looking to find out more about it and to apply its principles in their practice.
Conclusions
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Securities America Denies Charges of Departing Reps
Anonymous sources insist advisors are leaving or planning to leave the firm.
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Should You Use a Rebalancing System?
One of the more common questions I hear from advisors is whether it is time to begin using a portfolio rebalancing system.
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You Can’t Regulate Crooks
Will all the stress and cost associated with this new Part 2A make a substantial difference for the investing public?
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Stop Dithering
There are a fair number of challenges facing financial advisors, but the biggest enemy may be the person who stares at them in the mirror.
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The Bear Truth
Why should those who have outpointed their opponents in nearly every round consider “throwing in the towel?”
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Marketing 101: Answers to 10 Common Questions
For many independent advisors, getting started with marketing can be intimidating.
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Changing Strategy
Insurance is usually thought of as a necessary evil, paying off only for one’s heirs or misfortune.
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Why the IA 25 Is Important and Instructive
“Get used to the government being your partner.” For good or ill, that is certainly the case for the foreseeable future.
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More Than Kin, Less Than Kind
Legitimate questions raised by Republicans should be answered.
Columns
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The Constituency Conundrum
I recently participated in a panel on succession planning, and I was struck by how every question was asked from the perspective of the advisor alone.
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Is the Protocol Long for This World?
Some Wall Street firms belonging to the Protocol for Broker Recruiting, commonly referred to as “the Protocol,” are responsible for a troubling trend.
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The Polar Bears
I don’t usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
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The Fruits of Passion
The success of every advisory firm depends on each employee being just as passionate about their job, their firm, and their co-workers as the owner/advisor is.
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It’s Not Working
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