The Real Rainmakers 

Jun 1, 2008,

David A. Geracioti Editor-In-Chief

There was a time when the institutional side of a securities firm would walk with a swagger. After all, it was you, the retail financial advisor, who...

MEET THE INDIES 

Apr 1, 2008

Let's face it. Choosing an independent broker/dealer to join isn't easy. There are literally thousands, and each firm claims to offer the best. In a continuing...

Raymond James Financial Services 

Apr 1, 2008

Raymond James Financial Services 880 Carillon ParkwaySt Petersburg, FL 33716866.905.6333www.advisorchoice.com Number of Back-Office Employees*: 2,051...

First Allied Securities 

Apr 1, 2008

First Allied Securities Advanced Equities Plaza655 W. Broadway, 12th Floor; San Diego, CA 92101619.702.9600www.firstallied.com /www.joinfasi.com Number...

Wachovia Securities Financial Network 

Apr 1, 2008

Wachovia Securities Financial Network One North Jefferson; St Louis, MO 631031.866.485.5383www.wsfinet.com Number of Back-Office Employees*: 7,000 Number...

Cambridge Investment Research, Inc. 

Apr 1, 2008

Cambridge Investment Research, Inc. 1776 Pleasant Plain Road; Fairfield, IA 52556800.777.6080www.joincir.com Number of Back-Office Employees*: 245 Number...

Woodbury Financial Services 

Apr 1, 2008

Woodbury Financial Services 500 Bielenberg Drive; Woodbury, MN 55125800-800-2000www.woodburyfinancial.com Number of Back-Office Employees: 259 Number...

PLAIN ENGLISH: THE COST OF COMPLIANCE 

Mar 1, 2008,

John Churchill

The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. Instead...

FIX ADVISOR LAWS! 

Mar 1, 2008,

By John Churchill

One more time: Retail investors your clients are confused about the definition of a financial advisor. That is, they don't understand the difference between...

SOVEREIGN WEALTH: IT COULD BE GOOD FOR YOU 

Mar 1, 2008,

By Christopher C. L. Anderson

Kuwait. Singapore. Russia. China. The government investment funds of these countries, and several others, may have saved our financial system from severe...

THE FEVER FOR STRUCTURED PRODUCTS 

Mar 1, 2008,

BY BRIAN WARGO

Long a Favorite of Investors in Europe, structured products are rapidly gaining popularity in the United States. Last year, $114 billion in structured...

To Heck With Modern Portfolio Theory 

Mar 1, 2008,

By Stan Luxenberg

With markets soaring last year in places such as India and Turkey, investors poured cash into international funds. Of the $6.6 trillion invested in equity...

To Short An ETF 

Mar 1, 2008,

By Stan Luxenberg

When markets turn down, the hated short sellers appear. The volume of short sales bets that stocks will drop spiked after technology shares began collapsing...

Scandal or Goof? Analyst Tracker Icon Is Called Into Question 

Mar 7, 2007,

By John Churchill

Someone’s going to get fired, fined or thrown in jail for this one. A recently released research report from a trio of finance professors claims to have found a pattern of, ahem, revisionism going on within Thomson Financial’s I/B/E/S database of stock-analyst recommendations....

60 Seconds with...Curtis Teberg 

Nov 1, 2006,

Kevin Burke

Market historian and portfolio manager of the Teberg Fund, a fund of funds...

Cold Call: Ralph Parks 

Nov 1, 2006,

Kristen French

Interview with Ralph Parks, founder of Ralph Parks Investment Group in Pittsford NY...

The Heretic 

Nov 1, 2006,

By Cheryl Winokur Munk

These days, it's all about open architecture. Money manager Kenneth Fisher is having none of that. Fisher hires reps to gather assets for him to run on a discretionary basis...

Future Wealth 

Nov 1, 2006,

By David A. Geracioti

Alvin Toffler and his wife, Heidi, authors of the classic, Future Shock, argue that economists stink at forecasting, that wealth is moving from the West to the East...

The Trouble with Performance-Based Fees 

Nov 1, 2006,

By Kevin Burke

A handful of money managers have placed incentive fees on some of their funds, but inherent flaws and an unproven track record are enough to give advisors pause...

Pre-Presidential Rally Starts Now 

Nov 1, 2006,

Kevin Burke

Curtis Teberg, market historian, former broker and portfolio manager of the tiny $35 million Teberg Fund in Duluth, Minn., is betting on a monster rally in the stock market during mid-term elections...

60 Seconds with...David Tyrie 

Oct 1, 2006,

Kevin Burke

David Tyrie, head of Putnam's retirement services unit, works directly with 401(k) sponsors and financial advisors. We sat down with Tyrie to get the...

Mission USA 

Oct 1, 2006,

By John Churchill

UBS rocks in Europe and Asia - but not in the USA. How new US retail brokerage chief Marten Hoekstra intends to improve the performance of the US unit...

Save for Retirement, or Else 

Oct 1, 2006,

By David A. Geracioti

Now that the defined benefit plan is in decline, Americans will ahve to take charge of their retirement. How to get employees to participate? How to save Social Security? Robert Pozen, a retirement expert and chairman of MFS, on what needs to be done....

Not the Man, But the Machine 

Sep 1, 2006,

BY KEVIN BURKE

Quantitative mutual funds, dubbed “black box” investments for their strict adherence to quantitative metrics and technical analysis, have come into vogue this year...

60 Seconds with...Kevin Rowell 

Sep 1, 2006,

Kevin Burke

Kevin Rowell is no stranger to advisors. A longtime executive at some of the nation's largest broker-sold fund shops, he was recruited away from Charles Schwab in January to boost slumping sales at Pioneer Investments...