Sep 01, 2011

In November 2009, Dr. Donald Steinberg filed an arbitration claim with the Financial Industry Regulatory Authority alleging a whole host of sins against Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and a broker. Foremost among...

Modeling Elite Advisors in Crisis

Aug 31, 2011

Times of crisis separate elite advisors from the masses.

When Your Client Has Alzheimer’s

Aug 30, 2011

As the baby boomer generation ages, the number of people with Alzheimer’s will climb: an estimated 16 million are expected to suffer from the disease by 2050, up from 5.4 million today, according to the Alzheimer’s Association. One...

House Plans Hearing on SRO for Advisors for Sept. 13

Aug 30, 2011

Another round in the highly politicized battle over who will oversee investment advisers is brewing. The House of Representatives plans to hold a hearing on Sept. 13 on provisions of Dodd-Frank that govern the regulation of broker/dealers and inv...

Outperforming Muni Bond Funds Can Be Conservative or Aggressive. But You Better Know Your Fund

Aug 29, 2011

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Schwab Apologizes Over Sales Pitch to Advisor Clients

Aug 26, 2011

Charles Schwab has long said that it doesn’t solicit the investor clients of the financial advisors who custody assets with the firm. It’s a stance it repeated just a month ago when discussing its upcoming franchise program. And yet...

Hedge Funds Now Going for Institutional Money Instead of HNW Individuals

Aug 26, 2011

Since markets hit bottom in the spring of 2009, hedge funds have been reviving. But the structure of the industry has changed dramatically. While hedge funds once catered primarily to wealthy individuals, now the main clients are pensions and...

Portfolio Models Could See Headwinds Ahead, Especially Among RIAs

Aug 25, 2011

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7 New Advisor “Musts” for Thriving in Crisis

Aug 24, 2011

Atlanta: “I wasn’t in the business during the last downturn, but I get your point about this being a big opportunity for me. What should I focus my efforts on right now?” Tony asked us at a recent workshop...

Family Businesses Offer Opportunities – and Pitfalls – for Wealth Managers

Aug 24, 2011

Families who have most of their wealth tied up in a thriving family business present a classic double-edged sword dilemma for wealth managers. To be sure, the potential market is large and lucrative: Nine out of 10 businesses in the United States...