Investment Advisor September 2008

Features

Beginnings

  • Living the American Dream

    By Staff Writer

    I always enjoy Olivia Mellan's columns in Investment Advisor magazine, and typically they are the first that I read, but the most recent one titled...

  • Asset Allocation, August 2008

    By Staff Writer

    Read this month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers here.

  • Mass Satisfaction:

    By Jeff Joseph

    A recent survey shows that well-off Americans have significant holdings in alternative investments, with that category broadly defined to include real estate, private equity, and...

  • Go East, Young Man!

    By Beth Piskora

    For investors interested in diversifying their portfolios with European holdings, the best advice may be to look to the emerging markets of Eastern Europe, as...

  • Whither the Independent B/D?

    By Melanie Waddell, AdvisorOne

    Furthering the consolidation trend in the independent broker/dealer industry, Securities America Financial Corp. has agreed to acquire Folsom, California-based Brecek & Young Advisors, Inc. from...

  • SEC, DOL to Share Data

    By Melanie Waddell, AdvisorOne

    The SEC and Department of Labor (DOL) agreed July 29 to share information on retirement and investments in what they said was a bid to...

  • The Quiet, but Growing Custodian

    By James J. Green, AdvisorOne

    When most rias think of their custodial options, their choices seem limited to the big four: Schwab Institutional, Fidelity Institutional Wealth Services, TD Ameritrade, and...

  • LTC Payouts: $3.5 Billion in '07

    By Melanie Waddell, AdvisorOne

    Approximately 180,000 Americans with long-term care insurance policies were paid benefits in 2007, with the long-term care industry paying out $3.5 billion in benefits last...

  • It's Now Easier Being Green

    By Marlene Y. Satter, AdvisorOne

    You have clients who are environmentally savvy. And now they want insurance that will help them stay green, or even help them add environmentally friendly...

  • Catching up with...

    By Kara P. Stapleton

    Recently appointed head of the Registered Investment Advisor (RIA) channel for JPMorgan Funds, Steve Lundquist will be responsible for the business strategy of the institutional...

  • Employees Turned Volunteers

    By Kara P. Stapleton

    On May 14, the Charles Schwab Corporation celebrated its fifth annual Schwab Volunteer Day--a designated time each year in May that gives employees time off...

  • Group Think

    By Staff Writer

    ?- The CFP Board has hired Marilyn Mohrman-Gillis as managing director, Public Policy, effective August 18. Mohrman-Gillis will be responsible for developing and overseeing CFP...

  • Changes

    By Staff Writer

    Walt Bettinger, president and COO of Charles Schwab Corp., will succeed the company's founder and chairman, Charles Schwab, as CEO of the company, effective October...

  • Upgrades

    By Staff Writer

    Ameriprise Financial has reached a definitive agreement to acquire J. & W. Seligman & Co. for $440 million. The transaction is expected to be completed...

  • Tech Trouble, Ops Issues

    By Kara P. Stapleton

    Which areas of operations and technology are most challenging for your firm? That was the main question The Collaborative and Advisor Perspectives asked in a...

  • Striking While the Iron Is Hot

    By Melanie Waddell, AdvisorOne

    Attempting to cement its foothold in the fast growing dually registered advisor market, Fidelity Institutional Wealth Services (IWS) and its correspondent broker/dealer business, National Financial,...

  • Culture Wars

    By James J. Green, AdvisorOne

    At Investment Advisor, we cover both registered investment advisors and independent broker/dealers. While once upon a time these were parallel universes, these days there are...

Columns

Conclusions

Sidebar Stories

  • In the Unlikely Event I Would Ever Leave You . . .

    By Staff Writer

    The good news for independent broker/dealers? The overwhelming majority of reps surveyed in the annual Broker/Dealer of the Year voting are quite happy, thank you,...

  • Reps! What Do They Want?

    By Staff Writer

    With apologies to Sigmund Freud's famous remark, one of the open-ended questions on the Broker/Dealer of the Year ballot each year asks reps which products...

  • Broker/Dealer of the Year, Division I

    By Staff Writer

    Harbour Investments Founder, CEO, and President Nick Sondel A rep speaks: Harbour not only has a great payout plan, but they are extremely responsive to our needs....

  • Broker/Dealer of the Year, Division II

    By Staff Writer

    The Investment Center CEO and President Ralph DeVito A rep speaks: "They have been terrific. They are there when you need them, going the extra mile; and...

  • Broker/Dealer of the Year, Division III

    By Staff Writer

    NEXT Financial Group President Barry Knight A rep speaks: Having come from a career agency, the limitations I experienced and the pressure to present the home office's...

  • Broker/Dealer of the Year, Division IV

    By Staff Writer

    Cambridge Investment Research Founder, CEO, and President Eric Schwartz A rep speaks: I am constantly approached by other B/Ds to affiliate with them but have always declined....

  • Pick 'Em

    By Staff Writer

    This is the 18th year that Investment Advisor has asked its readers who are registered representatives of independent broker/dealers to anonymously rate their own broker/dealers...

  • Staying True to Yourself

    By Staff Writer

    When you are an employee of a big company, it's not just the business practices or corporate culture that may conflict with what you want...

  • A Culture of Competition

    By Staff Writer

    To best describe one of the major differences I've experienced personally between the broker approach and the RIA approach, I'd like to take you back...

  • Green From the Top Down

    By Staff Writer

    One of the most popular green building techniques right now is the installation of "green roofs." As explained by Dean Marchetto, founding principal of Dean...

  • About the Advisor

    By Staff Writer

    Tony Purpero Senior Financial Advisor and Consultant Partnervest Financial Group LLC 510 Castillo Street Santa Barbara, California 93101 Phone: 805-966-1266 E-mail: tpurpero@partnervest.com Web site: www.partnervest.com Year firm founded: 2001 Number of advisors in firm:...

  • Taking the "I" Out of Team

    By Staff Writer

    Tony Purpero's enthusiasm for the team advice concept is apparent in his voice when talks about his experiences at Partnervest; the benefits to the client...

  • About the Manager

    By Staff Writer

    Jim Moffett, lead manager of the UMB Scout International Fund and the UMB Scout International Discovery Fund, has more than 35 years experience in investment...

  • The New Sibling

    By Savita Iyer-Ahrestani, AdvisorOne, Savita Iyer-Ahrestani, AdvisorOne

    Like its predecessor the UMB Scout International Fund, the UMB Scout International Discovery Fund (launched on December 31, 2007, with the ticker UMBDX), looks to...

  • The Common Characteristics of a Niche

    By Staff Writer

    Targeting a specific niche is a tried-and-true approach to getting good clients. But what exactly is a niche, and how do you serve it well?...

  • A Disengagement Benchmark

    By Staff Writer

    When segmenting a book, one benchmark I recommend in evaluating which clients to let go comes from the 2007 Compensation and Staffing Study of Advisory...

  • Behind the Numbers

    By Kara P. Stapleton

    "The majority of the time, the markets' best days are a few weeks or a month away from the good days," notes the Alpha Group's...

  • Finances and the Perception of Retirement

    By Lewis Schiff

    Slowing down and entering a perpetual vacation for the rest of their lives is no longer the goal for a large percentage of retirees, so...

  • Managing Mental Decline

    By Staff Writer

    What do you do when an older client begins to phone you repeatedly, asking over and over for information that she has already heard? In Bethesda,...

  • It's Business, Not Personal

    By Staff Writer

    The first step in getting a handle on an advisory firm's financials is to separate the owners' personal economics from business economics. You can't make...

  • Gratitude in Action

    By Staff Writer

    Here are four practices to consider in constructing your gratitude portfolio: Be specific--When thanking someone for a job well done, be specific about what you're grateful...

  • The Half-Empty Glass

    By Marlene Y. Satter, AdvisorOne

    In July 2007, IA spoke with financial advisor Holly Brown Carroccio and her mother, Diane Billingslea, an insurance agent, regarding Marie Billingslea, Diane's mother and...

  • Honor Roll

    By Staff Writer

    Year in and year out, most voting reps give their individual B/Ds high marks. Following is the list of firms that garnered first, second, and...

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