December 1, 2009
Cover Story
The RIA Roll-Up Unraveling
Dec 1, 2009 12:00 PM, By Halah Touryalai
Consolidators, or roll-ups, were the biggest buyers of RIA firms just a few years ago. But as revenues and cash flows have declined, some consolidators are bowing out of the business while others are making adjustments to survive....
Features
The Fiduciary Future
Dec 1, 2009 12:00 PM, By Kristen French
When new regulations are put in place, it will be harder for financial advisors to wear two hats--broker and fiduciary--and there will be a sharper dividing line between product distribution and advice. ...
Insurance, Bandaid For Bad Markets
Dec 1, 2009 12:00 PM
Advisors are finding that interest in investment protection needs has rocketed among clients....
Gurus, Holiday Waste
Dec 1, 2009 12:00 PM, By David A. Geracioti
Holiday gift-giving is often a waste of money, says a Wharton economist. ...
Fixing UBS
Dec 1, 2009 12:00 PM, By John Aidan Byrne
What Bob McCann is up against in turning around UBS' wealth management unit. ...
Broker Report Cards
Registered Rep.'s 2009 Broker Report Cards: Then There Were 5
Dec 1, 2009 12:00 PM, By Christina Mucciolo
Thinking about changing firms? Before you do, get the real deal. Read the results of our 19th annual FA satisfaction survey to find out what FA employees really think about their firms. ...
Edward Jones, Masters of the (Good) Status Quo
Dec 1, 2009 12:00 PM, By Christina Mucciolo
Morgan Stanley Smith Barney, Best House In A Bad Neighborhood.
Dec 1, 2009 12:00 PM, Halah Touryalai
Investing
Icarus Funds
Dec 1, 2009 12:00 PM, By Stan Luxenberg
These high-flying mutual funds may now be too close to the sun....
Is the Bloom Off the Ivies?
Dec 1, 2009 12:00 PM, By Brad Zigler
In the wake of last year's poor results, is the Yale Model of endowment investing passe?...
The Practice
The Top 10 Financial Mistakes Advisors Make
Dec 1, 2009 12:00 PM, By Philip Palaveev
You don't expect your doctor to smoke, and you shouldn't see your advisor maxing out his credit card. ...
The New World Advisor
Dec 1, 2009 12:00 PM, By Matt Oechsli
Work at improving your practice in these seven areas and you will be a success with affluent clients....
Smaller Producers Pinched
Dec 1, 2009 12:00 PM, By Mindy Diamond
Many full service firms are cutting pay and benefits to advisors who generate under a half million in revenue. But there are good career alternatives at regionals and independents....
Opinion
Edit Letter, Broker Ambivalence?
Dec 1, 2009 12:00 PM, By David A. Geracioti, Editor-In-Chief
The FINRA Gates of Hell
Dec 1, 2009 12:00 PM, By Bill Singer
Some abandon hope when defending themselves against FINRA but there may be salvation....
The Rep. Index, December 2009
Dec 1, 2009 12:00 PM, Compiled by John Kador
Smart decisions are based on more than government statistics, agency reports, news releases, interest rates and stock quotes. We've selected a few fascinating statistics here that illuminate the markets, the world of financial services and big business....
Reports
529s Trump Savings Bonds
Dec 1, 2009 12:00 PM, By Kevin McKinley
It's that time of year, and grandma may want some tips on giving wisely. ...
Help Wanted
Dec 1, 2009 12:00 PM, Halah Touryalai
Turns out breakaway brokers are not as coveted in the independent space as you might think. ...
Blotter, December 2009
Dec 1, 2009 12:00 PM, By Christina Mucciolo
Cold Call, December 2009
Dec 1, 2009 12:00 PM, By Christina Mucciolo
Mary Ellen and Bruce Valliant, married team, Raymond James Financial Services. ...
2009 Is No 1982
Dec 1, 2009 12:00 PM, By Christina Mucciolo
Much has been made of the similarities between the huge market surge off March lows this year, and the dramatic rally in 1982....
Comings & Goings, December 2009
Dec 1, 2009 12:00 PM, By Halah Touryalai
Cant Comp This!
Dec 1, 2009 12:00 PM, By Halah Touryalai
Wall Street firms are canceling Christmas again this year. ...
Decline in Sales of Bubbly Means Thrifty Times
Dec 1, 2009 12:00 PM, By Christina Mucciolo
The New York Times recently reported a drop in champagne sales in all the top markets....
