Investment Advisor November 2010
Cover Story
Setting the Pace
A raft of new projects--including its new technology 'ecosystem' approach--proves why Schwab remains the RIA leader.
Features
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Evaluating Broker-Dealer Service
It's no secret: One of the main reasons reps leave firms is lousy back room service. Sure, all broker-dealers claim to offer terrific service. However, when...
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Fueling Your Success
In our last article, we covered revenue, time management and investment trends among registered investment advisors.
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Transparently Better?
After the traumatic events of the last few years, some of your clients may be experiencing a crisis of confidence in our economic system, institutions and leaders.
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Serve and Protect
Susan Ganz calls herself a financial services professional, but you might call her a disaster preparedness expert.
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Can You Build a Business?
The typical advisor has likely attended multiple coaching programs, has participated in dozens of practice management workshops, and has seen more presentations of best practices than there are episodes of Law and Order.
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Policy Without Politics
The 17-year military dictatorship of General Augusto Pinochet has left an indelible mark on the history of Chile. Even as the Latin American nation celebrates...
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Wide Open (Investment) Spaces
No offense to the citizens of this red state stalwart, but we don't often hear of the New York-San Francisco-Tulsa financial triangle.
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Life Insurers Under Fire
At the end of July, in the midst of one of the most financially troubled summers in recent memory, headlines at Bloomberg blazed with charges that insurance companies were profiting from the deaths of servicemen.
Beginnings
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Fiduciary Study Under Way, but Harmonization Looms
At press time, the mid-term elections are upon us--which means there's a good chance the House will flip to a Republican majority.
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Catching Up With ... Frank Maiorano
This being our RIA issue, Frank Maiorano seems like a perfect fit.
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Our Worst Enemy
I was in my car listening to afternoon drive-time, psychobabble BS when the guest said, "I don't fix problems, I fix people." Simple enough--people cause...
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The Trouble with Target-Date ETFs
One by one, the rollout of new exchange-traded funds has begun to challenge mutual fund providers for investor asset share.
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The Price to Pay for Ibbotson’s Illiquidity Premium
Regular readers of this column frequently inquire as to which alternative asset classes or investment strategies may have risk-return characteristics similar to direct investments in startups.
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Behind the Numbers with Jeffrey Kleintop
We expect the economy and markets will stay on the course for growth in 2010. We are maintaing our forecasts for the year, which include:...
Columns
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Keep Your Eye on the Ball
It doesn't take a CFA to deduce that a greater investment in clients and the people who serve them yields a higher probability of retaining both--and attracting others.
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Using Bond Ladders to Stave Off a Corporate Bond Bubble
We recognize the growth in the RIA space and we have been examining how we could expand that platform and reach them in a more meaningful way.
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Mark Hurley’s View Askew
A constant theme in Mark Hurley's work is questioning the value of smaller advisory practices.
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Advisors, Go Beyond Mere Tweets
Many advisors think they need a blog, wiki, forum, or a LinkedIn page, without fully understanding the implications.
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Don't Be a Boss, Be a Coach
The real bottom line is that a coach or a business owner can't succeed alone: Their success depends on the success of their players.
Conclusions
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Automatic Enrollment in 401(k) Plans Increases Savings Success
Maybe the debate is finally over. A report released in early October by Financial Engines found automatic enrollment features for 401(k) plans fare better than...
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Is It Time to Switch Your Portfolio Management System?
You can easily argue that the investment portfolio management system is one--if not the most--important technology in an advisor's office.
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New Form ADV: Re-Arranging the Deck Chairs
In this, the third in our series of columns looking at the latest regulations for advisors from the SEC, let's look at the new Form ADV disclosure.
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The Only Proven Way to Add New Clients
Most of the marketing strategies you previously used to grow your business are now either illegal--or just plain ineffective.
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Raymond James: 15% Growth Goal for Independent Advisors
Speaking at the 16th annual Women's Symposium Oct. 8 in St. Petersburg, Fla., Raymond James Financial Chairman Tom James and two other executives told the...
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An Alternative Custody Strategy
The epicenter of the RIA world is shifting from a focus on traditional assets to the inclusion of alternative investments in clients' portfolios.
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Credit Where Credit Is Due
Using credit scores in an economy that has seen millions put out of work and into foreclosure is unfair and subjects consumers to unreasonable rate increases.
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Why Choice Matters
Advisor choice is the natural outgrowth of competition.
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How ETFs Benefit 529 Plan Investors
Every investment vehicle is under scrutiny these days, and 529 plans are not immune. These plans are still in their infancy, and were just gaining...
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Choose Wisely
Which companies are getting it right? We take a look at some of the top plans by assets. A few might surprise you.
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Actionable insights to help you make better global investment decisions.
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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Find out the four crucial steps you need to follow to choose the right technology...
Complimentary White Paper: "Alternative Investments in the Mainstream "
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