November 1, 2009
Cover Story
Rookie Survivors
Nov 1, 2009 12:00 PM, By John Churchill
Newly minted advisors, fresh out of training program, more often fail than succeed. Add a credit crisis, a market crash and a recession to the mix, and most green FAs quit before year one is up. Here's a handful who are bucking the odds. ...
Features
The A.G. Edwards Legacy Continues
Nov 1, 2009 12:00 PM, By Christina Mucciolo
After a little over a year in business, Benjamin F. Edwards has made deliberate strides forward. But can the nascent firm, started by the great-great grandsom of A.G. Edwards' founder, fill the shoes of of its predecessor? ...
Bob McCann: Back In Business
Nov 1, 2009 12:00 PM, By John Aidan Byrne
Freed from his non-compete with Bank of America, McCann is allowed to head back to work. In this interview, Registered Rep. talks with him about his next appointment, and his time at Merrill Lynch....
401(k) Plans Need You
Nov 1, 2009 12:00 PM, By Amy Glynn
In the past, the defined contribution plan business was generally regarded as too much work for too little pay. But times have changed....
The Future of Financial Regulation
Nov 1, 2009 12:00 PM, By Robert Pozen
Congress is kicking around a bill that would make all financial advisors, including registered reps, fiduciaries. What will this mean for you?...
The Age of Uncertainty
Nov 1, 2009 12:00 PM, By Richard A. Behrendt
While Congress is preoccupied with other matters, legislation reforming estate taxes remaind stalled. What should advisors be discussing with their high-net-worth clients to alleviate some of the uncertainty?...
SPECIAL SUPPLEMENT: THE INDEPENDENT LIFE
The State of Independence
Nov 1, 2009 12:00 PM
The independent broker/dealer channel remains the largest in terms of number of advisors, when you factor in dually registered reps. But it still has some catching up to do in other areas, like client assets per advisor. The wirehouse world still has a monopoly on the biggest advisors--those with the most assets in the industry. ...
An Uneasy Union
Nov 1, 2009 12:00 PM, By Halah Touryalai
For the past decade, insurance companies have gone back and forth about whether owning independent b/ds makes sense. ...
Q&A with Jim Livingston
Nov 1, 2009 12:00 PM, Halah Touryalai
President, CEO National Planning Holdings broker/dealer network, a Jackson National Life Insurance company...
The Corrected Top 100 Independent Advisors
Nov 1, 2009 12:00 PM
Highlighting the biggest in the independent b/d world. ...
Investing
Small and Obscure Is Beautiful
Nov 1, 2009 12:00 PM, By Stan Luxenberg
When searching for strong asset managers, big is not always best. But finding a good small fund can be difficult....
Bring in the Clones
Nov 1, 2009 12:00 PM, By Mebane Faber
Picking outperforming stocks is difficult. But you can mimic the stock picks of the world's best investors by following Form 13F filings....
The Practice
Book Excerpt: Your Team Is Your Product
Nov 1, 2009 12:00 PM, By Matt Oechsli
In his book, Elite Financial Teams: The 17% Solution, Matt Oechsli shares research on teams and the affluent from The Oechsli Institute....
Fund House: It's Raining Funds!
Nov 1, 2009 12:00 PM, By Lisa A. Cohen
The mutual fund industry loves to launch new products. But fund companies should close long-term laggards before launching more....
Stock Doc: Don't Put All Your Ego In One Basket
Nov 1, 2009 12:00 PM, By Dr. Alden Cass
The wealthy suffer financial setbacks in unique ways. Here's a prescription for protecting yourself in the future....
The Inner Game: Become A Lifelong Learner
Nov 1, 2009 12:00 PM, By Matt Oechsli
If you want to win or keep the trust of your clients, you need to demonstrate to them that you have a solid base of knowledge about the changing investment environment....
Opinion
Edit Letter: The Independent Life, Again
Nov 1, 2009 12:00 PM, David A. Geracioti Editor-In-Chief
The migration of financial advisors to independent firms used to be mostly talk. But in the past year, has begun to gather some momentum....
Career Moves: The X(Y) Factor
Nov 1, 2009 12:00 PM, By Mindy Diamond
Life at the brokerages has gotten easier for female financial advisors, but there's still room for improvement....
Street Legal: Don't Try This At Work
Nov 1, 2009 12:00 PM, By Bill Singer
Learn from others' mistakes....
Endpiece: The Prudent Man versus the Prudent Expert
Nov 1, 2009 12:00 PM, By David B. Loeper, CIMA, CIMC
If you advise on retirement plans, you'd better understand ERISA. Because of a Supreme Court ruling, it's easier for disgruntled clients to sue....
Reports
New Roth IRA Rules
Nov 1, 2009 12:00 PM, By Halah Touryalai
Starting next year, a lot more people will be eligible to rollover IRAs into Roths. But your clients don't know a whole lot about it. Do you?...
Overvalued Market?
Nov 1, 2009 12:00 PM, John Churchill
The 60-plus percent rally on the S&P 500 since the March lows has a lot of people wondering if it's still a decent time to buy. ...
Independent Land Grab
Nov 1, 2009 12:00 PM, By Christina Mucciolo
The great migration of wirehouse advisors and assets to independents is well underway. ...
Cold Call: Jason Wenk
Nov 1, 2009 12:00 PM, Christina Mucciolo
President, Retirement Wealth Advisors, Inc., an RIA in Jenison, MI....
Checking You Out
Nov 1, 2009 12:00 PM, Christina Mucciolo
With the Madoff and Stanford scandals still relatively fresh in investor memories, a handful of companies offering free background checks and rating services....
Comings & Goings, November 2009
Nov 1, 2009 12:00 PM, Halah Touryalai
Job hoppers in the financial advisory industry. ...
Blotter, November 2009
Nov 1, 2009 12:00 PM, John Churchill
Financial advisors who got caught in a swindle. ...
