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Recent Stories From This Author
April 23, 2012
Online and mobile social connectivity is now fully integrated into the modern way of life for your clients. If it is important to clients, it should be important to advisors, says Mike Langford, senior social business strategist at Socialware.
April 20, 2012
Despite the easy passage of Rep. Eric Cantor’s Small Business Tax Relief bill, H.R. 9, in the House of Representatives, RIA firms aren’t likely to be counting on any tax savings at this point.
April 16, 2012
While most advisors do focus on generating referrals, many forget to spend time figuring out whether their businesses are worthy of getting those referrals in the first place, says Ken Unger, advisor coach and president of Million Dollar Producer.
April 9, 2012
The one-size-fits-all approach to advice and investing won’t work, says John Anderson, head of practice management solutions at SEI Advisor Network. The real question isn’t whether clients will change, but rather whether your business will change.
April 2, 2012
Real estate may be cyclical, but having exposure to real estate — especially commercial real estate — in a portfolio as an alternative source of income can be beneficial. What’s the best way to evaluate whether it makes sense for a client?
March 26, 2012
The advantages of having both an RIA and broker-dealer relationship include ownership of the business while having the support of a full service broker-dealer.
March 13, 2012
High-yield bonds may sound risky, but they have some advantages in the current market environment, according to a BlackRock report.
March 12, 2012
ETFs have seen rapid adoption by investors and advisors in recent years, but while the products themselves are known for their liquidity and transparency, what’s less understood is the tax bite some may deliver at the end of each year. With this in mind, Financial Planning spoke with Adam Patti, CEO of IndexIQ, to talk taxes and ETFs.
March 9, 2012
Symetra Investment Services has hired a new director of business development away from Lincoln Financial Network, the retail sales and financial planning affiliates of Lincoln Financial Group.
March 8, 2012
In the search for yield, mid-cap stocks are often overlooked as an option. But the companies often have more room to grow than large caps, and many are “appealing takeover candidates” to boot, says Esther Kwon, equity analyst with S&P Capital IQ.
March 8, 2012
The proposed rule change might lower litigation and forum expenses, but it could also result in more claims and awards against reps and (eventually) RIAs.
March 8, 2012
The new hire, Joseph Zidle, guided investing strategy for almost $2 trillion in individual investor assets in his prior role.
March 5, 2012
The top concern was over the quality and selection of investment options in traditional plans, with over half of RIAs surveyed naming this as their chief issue.
March 5, 2012
There’s a lot of investor and advisor interest in alternative investments as a means to hedge against market volatility and to diversify a portfolio (all while boosting returns). Steve Hammers, chief investment officer and portfolio manager of the Compass EMP Alternative Strategies Fund, spoke to Financial Planning about how to design and evaluate an alternatives strategy:
March 2, 2012
Many investors put off making final IRA contributions until the last minute, and now Fidelity Investments has an app for that.
March 1, 2012
Independent broker-dealer Paulson Investment Company has agreed to transfer its retail operations to RIA and broker-dealer JHS Capital Advisors.
February 29, 2012
The group chose Securities America because “we want to expand our business … [and]… we feel this is a better opportunity and fit than any other firm we researched and reviewed,” according to Tom Gahler.
February 24, 2012
Harris myCFO has hired Leslie Grant as vice president, a role in which she’ll be responsible for capital advisory services and custom banking solutions for clients.
February 23, 2012
New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a broker’s termination as well as scores on industry qualification exams.
February 22, 2012
“With our economy in the shape it’s in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill,” according to a statement from FSI President and CEO Dale Brown.
