Investment Advisor

House Financial Services Passes Investor Protection Act

mwaddell@investmentadvisor.com (Melanie Waddell) — Tue, 03 Nov 2009 16:00:00 PST

Full House debate on financial services reform not likely until first week in December

Fiduciary Debate Lands at Supreme Court

mwaddell@investmentadvisor.com (Melanie Waddell) — Mon, 02 Nov 2009 16:00:00 PST

High court takes on excessive fund fees case

As Deadline Looms for Investor Protection Act, Advisor Groups Urge Congress to Include a Real Fiduciary Standard

bkeane@investmentadvisor.com (Robert F. Keane) — Mon, 02 Nov 2009 16:00:00 PST

NAPFA, FPA, CFP Board and others petition House committees not to weaken investor protection

A TARP Failure: CIT Files for Bankruptcy

jgreen@investmentadvisor.com (James J. Green) — Sun, 01 Nov 2009 16:00:00 PST

Big lender plans quick exit from Chapter 11

Editor’s Choice for the Week of November 2, 2009: Volatility and Voting, the Fed and Jobs

jgreen@investmentadvisor.com (James J. Green) — Sun, 01 Nov 2009 16:00:00 PST

What's happening this week.

Whither the Markets? The Devil Is in the Entrails: Searching for Alpha, November 2009

puzzler@investmentadvisor.com (Ben Warwick) — Sun, 01 Nov 2009 16:00:00 PST

Discerning the likely direction of the markets today is like reading a cleverly written mystery novel. In both cases a macro focus is essential, but the devil is in the details.

Schwab to Offer Commission-Free ETFs

jgreen@investmentadvisor.com (James J. Green) — Sun, 01 Nov 2009 16:00:00 PST

Will roll out eight of its own funds over the next month

One B/D’s Take on Assessing Risk

moneyharmony@cs.com (Olivia Mellan) — Sat, 31 Oct 2009 17:00:00 PDT

Advisors should develop a risk score for clients after discussing risk tolerance, goals, behavior, and investment knowledge nwith them.

Lessons From an Experienced Advisor

moneyharmony@cs.com (Olivia Mellan) — Sat, 31 Oct 2009 17:00:00 PDT

Dick Vodra doesn’t use a questionnaire to develop a risk profile for clients; he helps them examine what’s important in their lives.

A Short History of Gold

vaughan_scully@standardandpoors.com (Vaughan Scully) — Sat, 31 Oct 2009 17:00:00 PDT

Since the dawn of civilization, gold, silver, and other precious metals have been regarded by investors worldwide as a unique store of value.

Cover Story: Reassessing Risk

moneyharmony@cs.com (Olivia Mellan) — Sat, 31 Oct 2009 17:00:00 PDT

Clients who are too conservative need to be educated that they have only traded investment risk for inflation risk.

Small World

dgannon@deloitte.c (D.J. Gannon) — Sat, 31 Oct 2009 17:00:00 PDT

FRS will eliminate many of the adjustments investment advisors historically have made to allow companies’ financials to be more comparable internationally.

Tried and True

jgreen@investmentadvisor.com (James J. Green) — Sat, 31 Oct 2009 17:00:00 PDT

Optimism reigned at a roundtable of RIAs who kept the faith while being tempered by the fires of recession, fraud, and volatility.

People & Pay

CustomerService@sbmedia.com (Dan Inveen and Eliza DePardo) — Sat, 31 Oct 2009 17:00:00 PDT

Sponsored by TD Ameritrade Institutional and with Investment Advisor as its media partner, the inaugural 2009 FA Insight Study of Advisory Firms aims to guide business owners facing serious decisions about people and pay.

The Green Advisor: SRI & Green Investing Grow Up

bkeane@investmentadvisor.com (Robert F. Keane) — Sat, 31 Oct 2009 17:00:00 PDT

Many younger investors are demanding 401(k) options that reflect their values, “especially so-called green funds.”

The Fast Track: The M Word Cometh

angieherbers@cox.net (Angela Herbers) — Sat, 31 Oct 2009 17:00:00 PDT

Older and younger advisors have a new appreciation for marketing.

The Affluentialist: Reading Your Clients

lewisschiff@advancedplanning.org (Lewis Schiff) — Sat, 31 Oct 2009 17:00:00 PDT

“A key differentiator between financial advisors who help their client achieve positive returns and those who help their clients achieve superior returns is moral and emotional competency.”

Clark at Large: The Times They Are a Changin'

rclark7000@aol.com (Bob Clark) — Sat, 31 Oct 2009 17:00:00 PDT

A new risk consciousness may be the silver lining to the market meltdown.

Formulas for Success: Cash Flow Cachet

mtibergien@pershing.com (Mark Tibergien) — Sat, 31 Oct 2009 17:00:00 PDT

Failure to project and monitor cash flow monthly has caused many owners to make ill-informed decisions.

The Soapbox: The Financial Planning Coalition Barks Back

CustomerService@sbmedia.com (Guest Contributor) — Sat, 31 Oct 2009 17:00:00 PDT

The Financial Planning Coaltion responds to Bob Clark's October 2009 column.

Insurance Update: Bonds. Death Bonds.

harpwriter@verizon.net (Marlene Y. Satter) — Sat, 31 Oct 2009 17:00:00 PDT

Securitizing life insurance is Wall Street’s latest idea. But is it really so new?

Expert's Corner: Bringing Structure to Discussions

jyoungwirth@commonwealth.com (Joni Youngwirth) — Sat, 31 Oct 2009 17:00:00 PDT

A structured discussion process can help you make better decisions.

B/D News

mwaddell@investmentadvisor.com (Melanie Waddell) — Sat, 31 Oct 2009 17:00:00 PDT

A new managed account program and moves by the SEC

Hybrids on the Rise

jgreen@investmentadvisor.com (James J. Green) — Sat, 31 Oct 2009 17:00:00 PDT

Asset managers have reacted to the market crisis of 2008 by cutting their overall salesforce personnel by about 5%.

B/D Briefing: Citi Brokers Switch to Fees

jgreen@investmentadvisor.com (James J. Green) — Sat, 31 Oct 2009 17:00:00 PDT

It hasn’t taken long for Debbie McWhinney to make her mark at Citigroup.