Kristen French

VIDEO: Christine Gaze, Director of Practice Management, TD Ameritrade

Christine Gaze at the IMCA 2012 national conference on her new role at TD Ameritrade and some of the firm’s practice management tools.

VIDEO: Michael Silver, Senior Managing Partner, Focus Partners

Michael Silver at the IMCA 2012 national conference on the secret to building great teams, how to define team roles, assembling specialists and how not to team.

VIDEO: Tim Welsh, President and CEO, Nexus Strategy

Tim Welsh at the IMCA 2012 national conference on advisor marketing strategies and the best way to get referrals.

VIDEO: Kevin DiSano, National Sales Manager, Index IQ

Kevin DiSano at the IMCA 2012 national conference on hedged ETFs and advisor appetite for alternatives.

VIDEO: Michael Papedis, Executive Vice President, Hightower Experience Group

Michael Papedis at the IMCA 2012 national conference on Hightower recruiting, the firm’s growth plans and new rivals in the business.

VIDEO: Noah Hamman, CEO of AdvisorShares

Noah Hamman at the IMCA 2012 national conference on active ETFs, PIMCO’s entrance into the business, ETF subadvisory and managed ETF portfolios.

VIDEO: David Fenstermaker, Principal, Fenstermaker Advisor Group

David Fenstermaker at the IMCA 2012 national conference on China bulls, emerging markets investing, and maintaining a balance between investment research and client relationships.

VIDEO: Sean Walters, CEO of IMCA

Sean Walters at the IMCA 2012 national conference on membership growth, lobbying and the changing regulatory environment.

VIDEO: Craig Avery, Managing Director of Innovation/Growth, Wells Fargo Advisors

Craig Avery at the IMCA 2012 national conference on recruiting, practice growth, and consolidation among independent broker/dealers.

Blotter: May 2012


Ephren W. Taylor II just wanted to write books and hear his wife sing, in a manner of speaking. Problem is he needed other people's money to make that happen, nearly $11 million of other people's money. Recent SEC charges suggest he thought he could get away with just swiping it. Between 2008 and 2010 he raised money from hundreds of investors nationwide to fund what amounted to a Ponzi scheme, the SEC charged.

Patricia J. Hinds: Spreading Retirement Smarts

Firm: Granite Financial (Securities America)

City: Saint Cloud, Minn.

AGE: 60

Years as advisor: licensed since 1991, started as insurance agent 1989

Years with current firm: 21

AUM: $73.7 million

12-mo. Production: $681,000

Product Mix: Stocks and bonds 1%, insurance 8%, managed accounts 59%; annuities, 32%

Specialty: retirement, income distribution and estate planning.

Albert A. Fox: Finding a Cure

Firm: Merrill Lynch

City: Mt. Laurel, N.J.

AGE: 40

Years as advisor: 18

Years with current firm: 18

AUM: $525 million

Production: $3.5 million

Specialty: transition management with retirees and business owners, full suite of financial planning and investment management services for people without the time, wherewithal or mindset to handle their financial affairs for themselves.

Designations, licenses: CFP, CIMA , Series 7, 31, 63, 65

George T. Cox: Building Character in Kids

Firm: Morgan Stanley Smith Barney

City: Seattle

AGE: 68

Years as advisor: 25

Years with current firm: 3

AUM: $250 million

12-mo. Production: $1.75 million

Product Mix: Stocks, 65%; insurance, 3%; bonds, 30%; managed accounts, 2%

Specialty: emphasis on value.

Designations, licenses: CFP, CIMA, CAP, CPWA, Series 7, Series 63

Returns Now Rule At Morgan Stanley
Advisors who manage client portfolios can now benchmark themselves against each other, as the firm rolls out a suite of new tools aimed at making investment returns a top priority for clients. That may make some clients happy and some advisors cringe. It may also make the firm a bit safer from legal fallout.
DUE DILIGENCE: Krawcheck Reincarnated as Gold Bug
Sallie Krawcheck, aka “Mrs. Clean,” is kicking off the next chapter of her long career in the wealth management industry with a position on the star-studded advisory board of Gold Bullion International, an investment platform for precious metals assets.
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