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February 2013

Browse articles from the February 2013 edition of REP. Magazine.

Cover Story

Features

  • Feb. 4, 2013
    Article
    REP.

    Faking It: Our Third-Annual IBD Report Card Survey

    In our third annual Independent Broker/Dealer Report Card Survey, reps turned out to sing the praises of their firms. But who are they kidding? The IBD business is in a tight spot....More
  • Feb. 4, 2013
    data table

    Top 50 Wirehouse Women in 2013  

    Women advisors still make up a small fraction of the industry, but the women on this list show that their influence in wealth management is growing. Here’s a ranking by AUM of the top female FAs in wirehouses....More

Investing

The Practice

  • Jan. 28, 2013
    Article
    REP.

    Grooming the Reluctant Apprentice

    A New Jersey advisor thought he had the perfect match for a junior partner, until she got cold feet about moving into the client spotlight. Our panel of experts helps them reconcile opposing goals....More
  • Jan. 22, 2013
    Article
    REP.

    Creatures of Habit

    The habits you develop at this stage of the New Year are likely to define your entire year. Here’s how elite advisors do it....More
  • Jan. 29, 2013
    Article
    REP.

    Independent But Not Alone: How a Former Wirehouse Advisor Leveraged Her Independence to Achieve New Heights

    In this interview, Michelle discusses her decision to leave the wirehouse world 6 years ago (she was a “breakaway broker” long before the term was even coined), her partnership with her mother, and her vision for Source Financial Advisors, the specialty boutique wealth management firm she launched several months ago....More

Private Wealth Management

  • Jan. 11, 2013
    Article
    REP.

    Here Come the Boomer Biz Owners

    There are 12 million baby boomer business owners, and they’re about to retire. Trillions of dollars may be on the table for advisors able to help them transition....More
  • Jan. 18, 2013
    Article
    REP.

    Forget Chasing Yield; Cut Taxes for Extra Income

    Stop chasing higher yields, returns, and risks, and instead use these methods to reduce your working clients’ income tax bills....More

Opinion

  • Feb. 1, 2013
    Article
    REP.

    Editor's Letter: February 2013

    I would like to thank the FAs who completed our third-annual independent broker/dealer survey. It’s much appreciated. A word about the survey: By and large, we found FAs were happy with their firms. We queried the top 75 IBDs listed in our reader database. (We relied on Cerulli Associate’s headcount numbers to guide us....More

REPorts

  • Jan. 16, 2013
    Article
    REP.

    DOL’s Fiduciary Proposal Presents Renewed Threat to Securities Industry

    SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry’s concern over the possible legislation which the organization says is contrary to the SEC’s....More
  • Feb. 1, 2013
    Article
    REP.

    The Behavior Gap Lives On

    Many advisors struggle with finding the right asset managers and the right investments to help their clients beat the markets. But the fact is, the average investor typically underperforms the average investment. That was the inspiration behind one of Carl Richards’ first drawings, shown below. But “The Behavior Gap,” as Richards calls it—the difference between how investors behave and how the markets actually perform—is even more persistent today than ever....More
  • Feb. 1, 2013
    Article
    REP.

    Blotter: February 2013

    Case of the Missing Money Best-selling mystery and crime author Patricia Cornwell met her wealth management firm Anchin, Block & Anchin in court this month over allegations it mismanaged her funds and mysteriously lost millions. Cornwall claims the firm negligently borrowed money, wrote out checks she never authorized and lost millions on a risky investment strategy she never approved. Further, the financial woes allegedly distracted the author, causing her to miss a book deadline and $15 million in advancements and commissions....More
  • Feb. 1, 2013
    Article
    REP.

    Cold Call: Michael Swenson

    Private Wealth Advisor with Merrill Lynch’s Private Banking and Investment Group in Wayzata, Minn....More
  • Feb. 1, 2013
    Article
    Reuters

    Here Comes The… Bridesmaid

    One common move among investors is to buy the worst performing asset class, sector or fund of the past year, with the idea that markets go in cycles and what has fallen so low will have plenty of room to rise. It may be common, but it’s a mistake. One year is too short a period for any sort of mean reversion to take effect, said The Leuthold Group, in its January research report....More
  • Feb. 1, 2013
    Article
    REP.

    Comings & Goings: February 2013

    The Financial Services Institute, the advocacy organization for independent broker/dealers and advisors, has tapped Kathryn Anderson as its new director of corporate relations. Most recently, she worked on the national accounts and sales teams at Wells Real Estate Funds. ...More
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