November 2008

Southern Hospitality


Cheryl Holland and her team have grown their South Carolina firm into one that serves many of their area's wealthiest people.

Crisis Communication

by Andrew Gluck

Even in the depths of this financial disaster, we can rest assured that people still need advice.

Do You Need A CEO?

by Rebecca Pomering

Here are some issues to consider in making the decision and structuring the job. 

Averting Disaster

by David Lawrence

Business continuity plans are needed to minimize any risks that would disrupt your firm.

Tackling Longevity Risk

by Mary Rowland

Wouldn't it be nice if we could use 401(k) money to buy annuities with pretax dollars?

The Landscape Is Shifting, Not Shaking


More regulation and fewer players will be the outcome of the financial crisis.

War Breaks Out For Wirehouse Brokers

by Gail Liberman

The fee-based/fee-only RIA models are the practices of choice for high-end advisors with an entrepreneurial spirit.

Disclose, Baby, Disclose

by Raymond Fazzi

Compliance issues can be a challenge for someone switching from a wirehouse to an independent advisor platform.

A Bigger Challenge

by John Knowlton

Developing a career path for members of your firm is more important than you think.

Clearings Fairly Smooth

by Bruce W. Fraser

Not surprisingly, phone traffic is up, but overall glitches have been few so far.

Work In Progress

by Joel Bruckenstein

Sharelogix is promising, but rough around the edges.

Draining The Swamp


Hedge funds have suffered their worst decline in years as Wall Street reels and the money pool evaporates.

In The Basement

by Alan Lavine

Discounts on closed-end funds are greater than they've been in decades.

The Probability Of Real, Real Returns

by Ken Ziesenheim

A discussion about investment returns after taxes, inflation and expenses will mean a reality check for many investors.

Fund Bullet Proofing

by Marla Brill

Fund manager Manind Govil keeps bad news at bay.

Following The Vision

by James Sprout

Family fiduciary contracts can help ensure that a trustee does what a family expects.

Harness Giving

by Joseph J. Cohen

You can help your clients by showing them how much charitable giving is within their means.

Life Will Be Good Again-But When?

by Gregory Bresiger

An author offers reassurances in this interesting, but simple, book.

The Heart Of The Issue

by Wayne von Borstel

Getting to the things that really matter to clients takes some patience and effort.

Five Funds For All Seasons

by Marla Brill

Mutual funds, like people, have personalities. Some have a lot of sizzle in good times, but when times are tough, the sizzle turns cold...

Advisor Emporium

Advisor Emporium

Fee And Commission Platform Launches Trade PMR and Sterne Agee Financial Services are launching a new computer-based service that allows independent advisors to conduct...

Editor's Note

Ship Of Fools


From the conservative golf-club grillrooms of La Jolla to the left-wing corners of London, the rage is ubiquitous...

Frontline News

Frontline News

Tumult Could Expand Ranks Of RIAs Once upon a time in the not-too-distant past, financial advisors at the big wirehouse firms touted the strength and stability of their...