December 2002

The Art Of Cultivating The Affluent

by Lyn Fisher

Use art appreciation events to attract clients for managed accounts. These days, it seems everyone is clamoring for the high-net-worth account...

Side Bar

The Investment Policy Statement The investment policy statement (IPS) has grown in importance in the retail market because of increasing client sophistication and demand for a more formal process.

Why Some Advisors Have An Advantage

Why Some Advisors Have An Advantage. In a volatile market, SMA experience may help retain clients.

Proposed SEC Proxy Disclosure Rules

by John D. Hughes and Robert D. Laurie

Investors' savior or plaintiffs' bar weapon? In the wake of countless business scandals including the Enron and Worldcom calamities, the Securities and Exchange Commission recently proposed rules...

Battling The Bear

by Marla Brill

Chris Davis faces his first prolonged bear market as a fund manager. Christopher Cullom Davis knows about being part of a fund family in more ways than one...

Looking To Make A Statement

by Raymond Fazzi

A software company eyes new markets, including advisors...

Whom Do You Trust?


More advisors are looking at how to offer trust services...

Owner-K Plans Give Self-Employed New Tool

by Eric L. Reiner

They offer entrepreneurs opportunities and flexibility. Many successful entrepreneurs have long wished for a way to save more for retirement...

Small Employers Wrestle With Benefit Costs

by Richard F. Stolz

Problems and choices spell opportunity for financial advisors.

Bear Market Prompts Minimum-Fee Rethinking

by Raymond Fazzi

Realities of the market dictate new strategies.

The New Tax Efficiency Of Mutual Funds

by Marla Brill

Large losses mean some funds won‚t distribute gains for years.

The Power of Two

by Bill Bachrach

Don't be a salesperson; be a trusted advisor.

A Bird In Hand Or Two In The Bush?

by J. Michael Martin

The certain income vs. possible appreciation dilemma.

To Give Or Not To Give

by Hannah Shaw Grove and Russ Alan Prince

Facilitating charity during a bear market.

Looking For Middle America

by Raymond Fazzi

As many advisors strive to find wealthier clients, Sheryl Garrett is leading a movement that focuses on people with middle incomes.

After The Hangover


The recovery and the next bull market will have to learn to crawl before they walk. Thus, the outlook for equities and the economy calls for modest growth.

Upside Down, Inside Out

by Tracey Longo

How top planners are helping clients get over their stock market shock and find new strategies for a new world.

Advisor Emporium


CFP Courses Now Available Online Five courses in the American College's Certified Financial Planner Curriculum are now available online...

Editor's Note


What Went Right Only a decade ago, many observers of the financial services business openly questioned how many advisors, brokers and other third-party intermediaries...

Frontline News


A brave John Philip Coghlan, who earlier this year became head of Charles Schwab's retail business, told advisors at Schwab Institutional's annual conference in Washington, D.C...