July 2012

Storm Chasing


In a volatile market year, growing RIAs in our annual ranking sought opportunity.

A Contrarian Path To Excellence

by Nick Murray

To march to the top of the profession, get out of step.

The Bodyguard

by Mary Rowland

Believing threats against their wealthy clients will intensify, family offices are providing more security services.

The Story, The Characters And The Plot

by Mitch Anthony

An advisor needs to hear clients' stories to determine what's influencing them.

Departing Employees

by David Lawrence

Regardless of circumstances, you need a plan for handling transitions.

The Fiduciary-Steward

by Donald B. Trone

If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards.

SEC Soft On Big Firms

by Brian Hamburger

Lehman Brothers is just one example of the regulator's long history of enforcement double standards.

The RIA Universe

by Bernie Clark

Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field. 

A Better Client Vault Solution?

by Joel P. Bruckenstein

ShareFile has the right balance of price and functionality to make it a serious competitor in the RIA channel.

A Golden Age

by Ben Mattlin

But does one of the fastest-growing assets of the past decade still glitter?

Which Are Best, Hedge Funds Or ETPs

by Brad Zigler

Hedge-replica exchange-traded products are gaining traction. Here's why.

In The ETF Price War, Investors Win

by Tom Lydon

Advisors have many options for helping clients save on fees.

Solid Ground

by Marla Brill

Lower dividends and big premiums may not stop new investors from jumping on the REIT bandwagon.

The Higher Costs For Higher Education

Interest in college savings plans is growing, but fewer advisors are selling them.

Money Talks, So Do Women

Female clients have a lot to say about what they want from advisors.

A Horse Of A Different Color


A new study from Financial Advisor and Private Wealth magazines with SkyBridge Capital shows advisors like alternative assets because their returns aren't correlated with those of other investments.

Advisor Emporium

Advisor Emporium

First Allied Launches Women's Impact Network San Diego-based broker-dealer First Allied Securities has introduced a new organization, called the Women's Impact Network, to...

Editor's Note

No 2008 Replay

It's hard to deny that events playing out over recent months have borne any eerie similarity to those of the first half of 2008...

Frontline News

Benjamin F. Edwards & Co. Forges Own Path

Not many four-year-old firms have a legacy stretching back to the Lincoln administration. But the financial industry roots of independent broker-dealer Benjamin F. Edwards & Co...

RIAs Catching Up To Brokers In Compensation

The compensation gap dividing elite independent advisors and top Wall Street brokers is closing, according to new research...

Does Financial Stress Make Men Fat?

A recent study by Aviva USA, an insurance and annuity company, and the Mayo Clinic suggests that stress caused by finances might cause men to gain too much weight...

It's A Trust Thing

People trust their financial advisor more than their primary doctor, according to a recent survey of investors by John Hancock Financial...

New Firm Makes Value Judgments

As more financial advisors approach retirement age, one of their pressing concerns is what to do with their practices...

Securian Program Seeks To Boost Ranks Of Female Financial Advisors

A recent survey by the insurance industry trade group Limra found only 31% of financial advisors are women...

Crisis Wiped Out 18 Years Of Household-Wealth Gains, Fed Says

(Bloomberg News) The financial crisis wiped out 18 years of gains for the median U.S. household net worth, with a 38...