Expectation Control 

Nov 1, 2008,

David A. Geracioti Editor-In-Chief

I have a friend, a financial advisor, who keeps what he calls The Yell-At-Tom Index. (His name is Tom.) Interestingly, The Yell-At-Tom Index (TYAT) is...

What To Tell Panicked Clients 

Nov 1, 2008,

BY Fran Hawthorne

Some words of wisdom to soothe your clients’ near-term market panic....

The Inner Game: Just Do It 

Nov 1, 2008,

By Matt Oechsli

In turbulent markets, take action with clients....

A Seller's Market 

Sep 1, 2008,

BY JOHN CHURCHILL

Across the industry, one thing is for sure: The market for financial advisors is hot....

Editor’s Letter: A Near Death Experience That Isn't Over 

Sep 1, 2008,

David A. Geracioti Editor-In-Chief

In trying to fathom the amount of capital that financial firms have destroyed since last summer, I called an acquaintance who used to work at Merrill Lynch....

The Inner Game 

Sep 1, 2008,

By Matt Oechsli

Your affluent clients, and prospects, may be worth more than you think....

Mission Personal Potential 

Jun 1, 2008,

By Matt Oechsli

Warren Buffett has said, I choose to work with every single person that I work with. That ends up being the most important factor. I don't interact with...

A Back Door To Success 

May 1, 2008,

By Matt Oechsli

Let's take a contrarian viewpoint regarding success. Much has been written about the typical qualities required for success. (In fact, I covered those...

Survivorship Life Back In Favor 

May 1, 2008,

By Alan Lavine

Despite current laws that reduce the estate-tax bite, survivorship life insurance is making a comeback as an estate-planning tool among some advisors....

A FALSE SENSE OF SECURITY 

May 1, 2008,

BY JOHN CHURCHILL

Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security....

Variable Annuity Providers Cozy Up To RIAs 

May 1, 2008,

By Alan Lavine

John Ritter is an unusual case, but he may also be a harbinger of things to come. A fee-only advisor with Ritter Daniher Financial Advisory, an RIA in...

Making Success Personal 

Apr 1, 2008,

By Matt Oechsli

A few weeks ago I had one of those blinding glimpses of the obvious. It dawned on me that despite the grinding intensity with which some advisors focus...

RBC's Buying Spree 

Mar 1, 2008,

Halah Touryalai

RBC Dain Rauscher continued its recent streak of acquisitions in February, announcing plans to acquire Ferris, Baker, Watts (FWB), a full-service broker/dealer...

Across the Pond 

Mar 1, 2008,

Halah Touryalai

Deal making in the wealth-management space has been rampant lately, and some holding companies and individual RIAs are beginning to see opportunities...

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...

Ph.D. In Sales Required 

Mar 1, 2008,

By Matt Oechsli

Something is wrong with this picture. Consider the following: When talking about the state of the financial advisory industry with many veteran advisors...

A Goal Pit-Stop 

Feb 1, 2008,

By Matt Oechsli

Business - purposeful activity. Plan - a method for achieving an end. Webster's New Collegiate Dictionary In the early months of a new year, I have always...

The Magnetic Salesman 

Jan 1, 2008,

By Matt Oechsli

Let's review three irrefutable truths: The affluent do not like sales people. Too many veteran advisors have neglected their sales skills. Advisors possessing...

Understanding The Affluent 

Dec 1, 2007,

By Matt Oechsli

Are you targeting the affluent? Are you interested in acquiring clients with larger pools of assets? Of course you are. Every financial advisor is aiming...

Thinking Like The Affluent 

Nov 1, 2007,

By Matt Oechsli

There is such a thing as the affluent touch: It's a matter of attitude and approach. In fact, this quality is often the very thing that makes one financial...

Moving Markets: Robert W. Baird 

Nov 1, 2007,

Christina Mucciolo

Here's one way to evaluate equity research: Measure the impact it has on stock prices. Bespoke Investment Group, a financial research firm, did just that,...

Time To Bottom Fish For Small Banks? 

Oct 1, 2007,

By Jonathan Moreland

Financial stocks have understandably led the market down during the recent credit-related correction. But the group has also recently led in another area:...