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Investment Advisor
August 2006
Susan L. Hirshman |
The Wealth Advisor: Lessons From the Best With a targeted client plan consisting of an integrated approach for client segmentation, actively pursuing referrals, and furthering meaningful client contact, financial advisors will be on their way to meeting their clients' financial needs.   |
Investment Advisor
August 2006
Melanie Waddell |
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. |
Investment Advisor
August 2006
Gavin Morrissey |
The Tax Advisor: IRDs and Retirement Accounts Many advisors and clients fail to recognize the impact of income in respect of a decedent (IRD) items within an estate plan. But it is a complicated area of tax law that requires the advice of an estate planning attorney and a tax professional. |
Investment Advisor
August 2006
Thomas D. Giachett |
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. |
Investment Advisor
August 2006
Savita Iyer |
Retirement Planning: Behind the Numbers Advisors are looking overseas for income-producing equities and fixed income to get the best out of the markets for their clients' retirement. |
Investment Advisor
August 2006 |
Retirement Planning: News & Products Retirement Income Industry Association (RIIA) launched a retirement income planning educational program for advisors... Co-op America Business Network members get a diverse 401(k) platform of socially responsible investment funds... etc. |
Investment Advisor
August 2006
Elizabeth D. Festa |
Retirement Planning: Retirement Advisor Profile Should you be using equity-indexed annuities as part of a portfolio for retiree financial advisory clients? |
Investment Advisor
August 2006
Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors. |
Investment Advisor
August 2006 |
B/d Briefing: News & Products Genworth Financial is beefing up its asset management business... The SEC is releasing added guidance on soft dollar rules... The NASD has agreed to put its NASD B Share Expense calculator directly on broker/dealers' Web sites... etc. |
Investment Advisor
August 2006
Joseph R. Biondo |
The IA Soapbox: First, Focus on the Client For an investment advisor, developing your unique best practices distinctly separates the independent firm from the traditional, non-independent firm. |
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