Investment Advisor November 2012
Cover Story
Stress Fracture: How to Save Your Relationship With Your Client
In your waiting room a client watches the TV tuned to CNBC, which shouts out good news—the Dow is up 300 points. Oddly, her stress level skyrockets. Why?
Features
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Managed Futures, Managed Risk
There are plenty of reasons to not like risk these days: the condition of the global economy, for instance, and Europe’s sovereign saga.
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6 Overlooked Criteria for Broker-Dealer Due Diligence
It’s not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
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How I Created a Better Way to Choose Funds
According to Morningstar, there are 22,689 mutual funds, 1,457 ETFs, 14,422 stocks, and I couldn’t even venture a guess as to the number of securities on the market. So where fund screens fall short, the Fiduciary Scorecard can provide help.
Beginnings
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After Election, All Eyes Will Be on Lame-Duck Session
With the presidential election closing in, political pundits have been weighing in on which issues Congress must tackle during what political analyst Andy Friedman called “the mother of all lame-duck sessions.”
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Windrose Advisors’ John Haase on Branding and New Names
John Haase graced our cover in April 2011 to discuss a topic on many advisors’ minds—the move to independence.
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ETFs for Tax Planning
Exchange-traded funds are often regarded as more tax efficient than traditional mutual funds largely due to the fact that many ETFs have been able to avoid the annual capital gains distributions that often frustrate investors in traditional mutual funds.
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The Art and Science of Manager Selection
Most of the time, investors are glad to see new money coming into a manager they’ve chosen because they’re pleased to have their choices confirmed by others.
Columns
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We Get Along Without You Very Well: Employee Departures Can Build a Stronger Business
No one in your firm is indispensable: how planning for the inevitable departure of employees can build a stronger business.
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Breach of Fiduciary Duty Most Common FINRA Complaint
While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.
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Adding Value: Getting the Best Out of Value Investing
This is a story about value investing and risk: specifically, the risk inherent in value investing and how to manage it.
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Young Guns: How to Keep Valuable New Employees for the Long Term
A recent story in the July/August issue of the Harvard Business Review received national attention.
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A House Divided: Help Client Couples Work Together
During the 30-plus years I’ve been counseling couples and teaching them how to resolve conflicts, I’ve identified many ways they tend to polarize around money.
Conclusions
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What Does Windows 8 Mean for Advisors?
Early expectations for Windows 8 are that it will not receive as much attention and fanfare as the previous operating system.
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18 Critical New Policies and Procedures for 2012–2013
Has your firm updated its policies and procedures to reflect substantive regulatory changes resulting from Dodd-Frank?
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The Arab Autumn
A little over one year ago, the world witnessed unprecedented events as political protests swept across the Middle East, taking down four long-standing autocrats and drastically changing the political landscape.
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Successful Wealth Transfer Demands Strong Relationship Management
Beyond the obvious financial connection between advisors and their clients is the often-overlooked personal connection.
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LTCI: Here Today, Gone Tomorrow?
The release in late September of a Moody’s Investors Service sector profile of long-term care insurance was filled with doom and gloom.
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What You Told Me and Each Other
A key part of an editor’s job is to know his readers, and over the past month I’ve had the opportunity and privilege to get to know Investment Advisor and AdvisorOne.com’s readers quite a bit better.
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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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