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Just about everybody and their brother has an opinion about the potential for a recession. Are we headed for one? Are we in one right now? Former Federal Reserve Chairman Alan Greenspan recently weighed in on the matter in a speech, saying that...
Wall Street is shifting loyalties. So far in the 2008 election cycle, the securities and investment industry has showered the Democratic Party with contributions. The balance began to shift in 2006, when the industry gave 53 percent of donations...
According to Bespoke Investment Group's Swimsuit Issue Indicator, the S&P 500 performs best in years when an American appears on the cover of Sports Illustrated's Swimsuit Issue. (That has happened 15 times over the past 30 years.) When an...
There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. Consultants say the most critical time for an RIA startup is likely about three to six months prior to its launch. The actions...
There are some topics in this business that seem to pop up again and again. This month's cover story addresses one of them: The difference between registered reps (Series 7 holders) and investment advisor reps (Series 65 holders). The investing...
Firm City Phone Website Total AUM (millions) Total Accounts Number of investment advisors Number of clients 1 Veritable LP Newtown Square, PA 610-640-9551 www.veritablelp.com $8,442 1,558 11-50 500 2 Oxford Financial Group, Ltd Carmel, IN 317-843...
Felipe Luna is on the Prowl for More Advisors particularly wirehouse reps who are lusting after the independent life for his RIA firm, San Jose, Calif.-based Concert Wealth Management. In October, Concert brought on three Morgan Stanley reps with...
Did you think financial advisors would be immune to the sub-prime crisis? Think again. Sure, you've heard that credit markets are tight. Capital is obviously still scarce at the big Wall Street firms, which have collectively written down over $100...
(Bold Indicates Top 100 RIA) Firm City Phone Website Total AUM (millions) Total Accounts Number of investment advisors Number of clients CALIFORNIA Kochis Fitz Quintile Investment Advisors, LLC San Francisco 415-394-6670 www.quintile.com $4,961...
The Roth IRA turns 10 years old in 2008, and chances are that some of your clients are among the 17 million Roth IRA owners who would happily celebrate if a birthday party of sorts were thrown. But you probably have an equal number of clients who...
