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DUE DILIGENCE: No Free Pass for Morgan Keegan on Auction Rate Securities  

May 3, 2012

By Kristen French

The auction rate securities hangover has not gone away, yet. A federal appeals court on Wednesday ruled that Morgan Keegan...

Treasury Considers Floaters Amid Heavy Skepticism  

May 2, 2012

By Juliette Fairley

Floating Rate notes would be the first new U.S. government debt security since TIPs were introduced in 1997. But would they make sense for your clients?...

When Studying Together Leads to More  

May 2, 2012

By Jerry Gleeson

Great minds think alike; sometimes, they even end up in bed together. Why should the world of RIAs be any different?...

YIELD OF DREAMS: Occupy Wall Street Is Back, But Will It Last?  

May 2, 2012

By Diana Britton

After being quiet throughout the winter, the Occupy Wall Street movement once again hit the streets Tuesday in their own version of “May Day” in many cities around the world...

UBS Brokerage Breaks Profit Record  

May 2, 2012

By John Aidan Byrne

UBS Wealth Management Americas (WMA) expanded its advisor force by 48 to 7,015 financial advisors in the last quarter as the brokerage unit of the Swiss banking giant posted both record pre-tax profit and invested assets. ...

Returns Now Rule At Morgan Stanley  

May 2, 2012

By Kristen French

Advisors who manage client portfolios can now benchmark themselves against each other, as the firm rolls out a suite of new tools aimed at making investment returns a top priority for clients. That may make some clients happy and some advisors cringe. It may also make the firm a bit safer from legal fallout. ...

YIELD OF DREAMS: REIT Regs In the Works  

May 1, 2012

By Diana Britton

Non-traded REITs have been getting a lot of bad press lately, as valuations for some have dropped dramatically....

RIA RISING: A Hobson’s Choice for 401(k) Plan Sponsors  

May 1, 2012

By Jerry Gleeson

Sponsors of 401(k) retirement plans who worry when employees borrow from the savings vehicle have a solution, but it comes with a price, a new report by Vanguard says....

Best and Worst ETFs and Mutual Funds  

May 1, 2012

By David Trainer

New Constructs’ David Trainer’s guide to the best and worst mutual funds and ETFs across several sectors. Trainers’ analysis takes an x-ray approach to funds, ranking them based on the quality of their individual holdings. ...

INSIDER INSIGHTS: Top Recent Insider Trades  

May 1, 2012

By Jonathan Moreland

Which stocks are getting attention from insiders? Below are lists of the top 10 mainly open-market insider purchases and sales filed at the Securities and Exchange Commission Monday, April 30, 2012 as ranked by dollar value....

LPL Posts Lower Earnings on Record Net Revenue, Assets  

Apr 30, 2012

By Diana Britton

LPL Financial saw mixed results in the first quarter, with lower earnings and net new advisory assets and record net revenue and advisory and brokerage assets. ...

Don’t Fear the Future, IAA Social Media Panel Says  

Apr 30, 2012

By Jerry Gleeson

Ah, the good old days of the mid-1990s, when business people debated whether they needed a website. Lately there’s déjà vu in the air now that social media is playing a greater role in the affairs of financial advisors. Do I need to be on Facebook, or have a Twitter account? Do my clients really care?...

Top Insider Trades: OZM, PRI, POPE and SEM  

Apr 30, 2012

By Jonathan Moreland

Below are lists of the top 10 mainly open-market insider purchases and sales filed at the Securities and Exchange Commission Friday, April 27, 2012 as ranked by dollar value....

RIA RISING: Social Media Tips at IAA’s Morning Forum  

Apr 27, 2012

By Jerry Gleeson

One of the topics at this morning’s Investment Adviser Association’s annual meeting in San Francisco was advisor use of social media. ...

Raymond James’ Recruiting, Productivity Up Despite Focus on Morgan Keegan  

Apr 26, 2012

By Diana Britton

Despite the focus on retaining Morgan Keegan advisors and integrating the b/d into its operations, Raymond James reported a solid recruiting quarter as well as record advisor productivity. ...

RIA RISING: Statman Brings a Comic’s Timing at IAA Conference  

Apr 26, 2012

By Jerry Gleeson

Meir Statman, author of “What Investors Really Want,” led off today’s programs at the Investment Adviser Association’s annual conference in San Francisco. Statman supplements his discussion about the ways investors betray their best interests with plenty of visual aids, chiefly commercials and film clips from TV programs....

New $2.7 Billion RIA Eschewed Aggregator Route  

Apr 26, 2012

By Jerry Gleeson

Savant Capital Management and The Monitor Group say combining forces gives them a more holistic level of expertise and a retirement route for their advisors – more importantly, they aren’t giving up equity to aggregators....

Your Affluent Clients Use Facebook: Are You Ready to Connect?  

Apr 26, 2012

By Stephen Boswell & Kevin Nichols

LinkedIn is great for connecting with other professionals and business-oriented clients, but Facebook is the real jackpot for connecting with clients (after all it has over 900 million active users!) ...

Don’t Fake It  

Apr 25, 2012

By Diana Britton

Full-service brokerage firms need to take a lesson from their fast-growing online peers when it comes to communicating with clients via technology, says MFEA panelists....

DUE DILIGENCE: Long Awaited SRO Legislation Stirs the Pot  

Apr 25, 2012

By Kristen French

The long-awaited and much-debated SRO (self-regulatory organization) bill has finally hit the floor. On Wednesday, Financial Services Committee Chairman Spencer Bachus (R., Ala.) and Rep. Carolyn McCarthy (D., N.Y.) introduced the Investment Adviser Oversight Act of 2012, which would allow one or more SROs to oversee investment advisers....

LIVE FROM IMCA’s ANNUAL CONFERENCE  

Apr 25, 2012

INSIDER INSIGHTS: Top Insider Trades  

Apr 25, 2012

By Jonathan Moreland

Which stocks are getting attention from insiders?...

Best & Worst ETFs & Mutual Funds: Financials Sector  

Apr 25, 2012

By David Trainer

The Financials sector ranks last out of the ten sectors as detailed in my sector roadmap. It is the only sector to earn my Very Dangerous rating, which is based on aggregation of ratings of 48 ETFs and 224 mutual funds in the Financials sector as of April 18, 2012....

How to Correctly Use Reverse Mortgages for Elderly Clients 

Apr 25, 2012

By Kevin McKinley

Any advisor worth his or her proverbial salt is familiar with reverse mortgages, and how the unique arrangements can allow house-rich but cash-poor seniors to afford to remain in their primary residences. ...

Ameriprise Profits Disappoint; Advisor Productivity, Headcount Improve  

Apr 24, 2012

By Diana Britton

While Ameriprise Financial (NYSE: AMP) reported lower profits for the first quarter, the firm managed to bring advisor productivity back up near record levels and slightly increase its advisor headcount....

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In This Issue: May 2012

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Advisors With HEART

Registered Rep.'s 32nd annual Altruism Awards.


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