Bank & Financial

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Registered Rep. February 7, 2012 Diana Britton	Yield of Dreams: Managed Futures for Crisis Alpha, But What About the New Normal? The majority of managed futures managers are trend followers, meaning they react to price movement and ride trends. They don't try to make a prediction about where the markets are headed. The hard part is knowing you're in a trend when it's happening.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Registered Rep. February 7, 2012 David A. Geracioti	Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally.
Registered Rep. February 7, 2012 Jerry Gleeson	Morgan Stanley Smith Barney's King Breaks Away, Taps Dynasty for Help A Morgan Stanley Smith Barney team led by Larry King in Saratoga Springs, N.Y. left the wirehouse and started an independent registered investment advisor, King Wealth Management Group.
Registered Rep. February 6, 2012 David A. Geracioti	Von Aldo: At the TD Institutional Conference: Grow, Baby, Grow! At the TD Ameritrade Institutional Annual Conference, advisors were saying market volatility, which lights up there office phones, is actually an opportunity.
Registered Rep. February 3, 2012 Kristen French	Fight for Facebook Shares May Be Messy How the timing of the Facebook IPO matches with the completed integration of the Morgan Stanley and Smith Barney platforms, will play a big role in determining how shares are divvied up.
Financial Advisor February 2012 Karen Demasters	Anatomy Of A Merger The creation of Modera Wealth Management had some glitches, but the outcome has been better than the principals anticipated.
Financial Advisor February 2012 Somnath Basu	Making Money, Getting It Right The greatest fallacy is that you have to find the winners to make money. But really you need to find the winners, losers and sideways movers.
Financial Advisor February 2012 Andrew Gluck	Shakeout Ahead New online platforms threaten disruption in financial advice.
Financial Advisor February 2012 David Lawrence	How To Hire Right Three steps that will help you avoid choosing the wrong person for a job.
Financial Advisor February 2012 Mary Rowland	Preserving The Bloodline For seven generations, the Laird-Norton family has maintained its close ties by passing along values and a sense of legacy.
Financial Advisor February 2012 Roy Diliberto	Fighting Wolves Feed optimism, not pessimism, in your clients.
Financial Advisor February 2012	Choosing Your Clients In his new book, Ross Levin focuses on how advisors can build their businesses. This excerpt examines different kinds of clients.
Financial Advisor February 2012 Joel P. Bruckenstein	An Integrated Cloud Solution External IT wants to be your cloud provider.
Financial Advisor February 2012 Eric Uhlfelder	The Future Of Commodities Despite declining prices, observers believe that well-managed investments in commodities can still generate gains.
Financial Advisor February 2012 Ben Mattlin	Making The Money Last How can advisors convince baby boomers to live within their means so they have enough for retirement?
Financial Advisor February 2012 Juliette Fairley	A Silver Lining Financial advisors working with federal employees need to be well versed on their unique benefits.
Financial Advisor February 2012 Eric L. Reiner	Putting 2011 Taxes To Bed Advisors can lower clients' stress by understanding the newest forms and rules.
Financial Advisor February 2012 Richard B. Wagner	Fish Soup Or Aquariums? Financial advisors are essential for creating optimal environments for individuals and societies.
Financial Advisor February 2012	Advisor Emporium Fidelity introduces new Mystreetscape portal... Global X launches first Greece ETF... Cornerstone And Regal Merge...
Financial Advisor February 2012 Jeff Schlegel	80-Year-Old Advisory Firm Splits Up Harold C. Brown & Co. began during the Hoover administration, weathered numerous economic cycles, thrived even as its hometown of Buffalo suffered its Rust Belt crisis, and altered its business model to change with the times.
Financial Advisor February 2012 Jim McConville	CFP Online The whole world seems to be moving online, including programs to earn the certified financial planner designation.
Financial Advisor February 2012	Companies Face $12 Trillion 'Equity Gap' By 2020 Global companies' demand for equity capital may outstrip supply by about $12.3 trillion in 2020 as investors avoid stocks, spurring firms to take on more debt and leaving them vulnerable during recessions, McKinsey & Co. said.
Financial Advisor February 2012	Sex Bias "The financial services industry needs to do a better job of recruiting, training and retaining women as financial advisors if it is going to successfully meet the demand of women small business owners," said Mary Quist-Newins.
Financial Advisor February 2012	Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses.
Financial Advisor February 2012	Cetera Buys Genworth's Tax And Accounting Unit Genworth's tax and accounting financial advisory unit, Genworth Financial Investment Services, was sold last month to Cetera Financial Group, an independent broker/dealer network serving approximately 5,000 financial advisors.
Financial Advisor February 2012	Two Firms Unite To Form One Large CPA-Based Wealth Manager The new entity will have 41 offices in 12 states across the central and western U.S., as well as two offices in India.
Financial Advisor February 2012	IMCA Boosts 2011 Membership The Investment Management Consultants Association's stepped-up efforts to attract new members paid dividends in 2011, with overall membership up 7% for the year.
Financial Advisor February 2012 Evan Simonoff	A Warning For Advisors On the eve of the worst financial crisis in 80 years back in 2006, what were the seers at our nation's central bank doing?
Financial Planning February 1, 2012 Ann Marsh	15 Top Tax Strategies For 2012 There's a one-word theme for the 2012 tax year: uncertainty. Chief among the reasons are the sky-high exemptions on the estate tax, the lifetime gift tax and the generation-skipping tax.
Financial Planning February 1, 2012 Allan Roth	Betting On A Roth Conversion In these financially tumultuous times, Roth conversion strategies can reduce risk substantially for clients in 2012.
Financial Planning February 1, 2012 Deena Katz	Giving It Away Charitable tax planning for clients may peak in the later months of the year, but it is really a year-round activity, and the first quarter is not too soon to start thinking about it.
Financial Planning February 1, 2012 Bob Veres	Chicken and Egg Running a financial planning practice takes you into a lot of chicken-and-egg situations, where it seems like you have to have something already before you can get access to it. But here's the good news: There are solutions for many of these blind alleys in your business growth.
Financial Planning February 1, 2012 John J. Bowen, Jr.	This Time, It's Personal Sharing a powerful story about yourself - one that gives some insight into who you are and what you stand for - makes listeners want to know you better. It's also one of the best ways to set the stage for a long-term advisor-client relationship.
Financial Planning February 1, 2012 John F. Wasik	State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.
Financial Planning February 1, 2012 Ilana Polyak	The New Gold Standard New York-based Tocqueville Asset Management has been a fan of gold far longer than recent gold bugs have even known where to find the spot price of gold.
Financial Planning February 1, 2012 Susan Ferris Wyderko	Do No Harm In deciding what further rules should apply to money-market funds, the SEC and other regulators would do well to heed the old Latin maxim primum non nocere- first, do no harm.
Financial Planning February 1, 2012 Craig L. Israelsen	Mid-Cap's Role Mid-cap U.S. equity is almost always included when advisors and investors assemble diversified portfolios. One way to see if this popularity is justified is to do an in-depth survey of mid-cap funds, and to see how these funds affect portfolio performance.
Financial Planning February 1, 2012 Joseph Lisanti	A Moving Target? If most potential clients walking through your door nowadays don't hold target-date funds in their 401(k) plans, that's likely to change in the next few years.
Financial Planning February 1, 2012 Kyle Spencer	Short-Term Lending Planners say they are increasingly seeing short-term loan requests as prime opportunities to talk to clients in depth about how they got into their fix and why they're strapped for cash.
Financial Planning February 1, 2012 Stephanie Bogan	Breaking Through Barriers The first few months of a new year is an ideal time for a company founder to make sure the business is ready to climb to the next level of success.
Financial Planning February 1, 2012 Joel Bruckenstein	inStream, in the Moment While it's early in the game, inStream Solutions might be next in this line of financial planning software innovators. It's a free, goal- and cloud-based planning solution for financial professionals. That's right, free.
Financial Planning February 1, 2012 Donald Jay Korn	A Golden Headache Given the billions of dollars poured into gold investments over the past decade, most financial planners have clients with exposure to the metal in some form. Advisors of gold buyers, beware: To help clients avoid surprisingly steep tax bills and IRS penalties, knowledge of the tax law can be vital.
Financial Planning February 1, 2012 Ingrid Case	Fighting Back Balance Point Divorce Funding of Beverly Hills, advances divorcing spouses money to pay household expenses, lawyers, forensic accountants and other professionals. In return, the firm takes a share of the larger settlements its clients hope to win.
Financial Planning February 1, 2012 Martin Shenkman	Trust, But Verify The estate planning answer for a lot of parents is to leave inheritances in trust for the benefit of their child. But trusts vary widely, and because this is a message many clients miss, planners must reinforce the idea.
Financial Planning February 1, 2012 Jim Grote	Partner in Finance Marilyn Dimitroff, of Capelli Financial Services in Bloomfield Hills, Mich., sees her relationship with her clients as a partnership.
Financial Planning February 1, 2012 Scott Wenger	Planning the Unknowable As all savvy advisors know, smart tax planning is not only about choosing the right strategy at the right time, it's also about avoiding bush league mistakes.
Financial Planning February 1, 2012 Marsh et al.	Hot Topics More audits coming for high-net-worth clients... Guardian life hiring 800+ financial reps... Hedge fund bonuses disappoint...
Financial Planning February 1, 2012 Ann Marsh	Keeping It All in the Family Burbank, Calif., planner Cameron Thornton founded a second company alongside his planning practice - Navigator Legacy Partners. It's devoted to preparing wealthy families for the transformational experience of inheritance.
Financial Planning February 1, 2012	Demystifying Volatility Investors shell-shocked by a recent period of extreme volatility may focus on avoiding exposure to volatility at all costs. However, those using the rear-view mirror to reduce volatility may risk long-term underperformance.
Financial Planning February 1, 2012	Upcoming Events In February: Investment Management Consultants Association, Minneapolis... Securities Industry and Financial Markets Association, New York... Financial Planning Association, San Francisco...
On Wall Street February 1, 2012 Konish & McMorris	Raymond James Rising Raymond James & Associates struck a deal with Regions Financial to buy its Memphis-based Morgan Keegan unit for $930 million.
On Wall Street February 1, 2012 Sasha Franger	Being Aware of Equity Exposure in Target-Date Funds Target-date series assets, as well as the number of target-date series, have doubled in recent years.
On Wall Street February 1, 2012 Dave Lindorff	Finding the Safe Bet in China "Things are amazing in China," exclaims an enthusiastic Sean Lynch, global investment strategist for Wells Fargo Private Bank.
On Wall Street February 1, 2012 Milton Ezrati	A Very Brief Tour Of Global Investment Prospects This year, like last, presents investors with an array of risks. Europe seemingly creates new financial and economic concerns daily, while, in the United States, fiscal questions and election uncertainties trouble the outlook.
On Wall Street February 1, 2012 Joe Adler	Hill's Focus on Volcker Rule Just Starting The Volcker Rule is shaping up to be a case study of lawmakers continuing to sound off on an issue that is technically no longer under their purview.
On Wall Street February 1, 2012	Five Questions With Hans Olsen As the Republicans move closer to choosing a candidate to run against President Barack Obama, Hans Olsen talks about his firm's research into the psyche of the American consumer and how investors should look at this year's presidential election.
On Wall Street February 1, 2012	Who's News New hires for Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS Wealth Management, and Raymond James.
On Wall Street February 1, 2012 Todd Colbeck	The Ultimate New Client Presentation In this article, I will share the five steps to making a sale. Please remember that the sales ideas I discuss will need to be customized for your situation within the compliance guidelines of your firm.
On Wall Street February 1, 2012 Alan J. Foxman	Death of A Client Until a personal representative (or executor) is appointed by the probate court, the client no longer has the ability to ratify the trades or revoke the authority granted.
On Wall Street February 1, 2012 Carri Degenhardt-Burke	Making Cold Calls Work All too often managers find younger advisors scouring the Internet for potential leads and not spending nearly enough time on the telephone.
On Wall Street February 1, 2012 Denise Federer	The Couples Conundrum Research indicates that a majority of male investors would prefer their spouse have a more involved role in money decisions.
On Wall Street February 1, 2012 John Diehl	Using Predictable Income To Strengthen Client Ties Advisors who help clients meet their basic living expenses and other needs by turning assets into streams of predictable income may see their clients' degree of trust and confidence increase if the financial recommendations deliver as proposed.
On Wall Street February 1, 2012	A. Markman 'Mark' Peters In 2009, I accepted my current position at Jefferies. We've been dealing with wealthy families that have removed the risk from their portfolios. We're tapping Jefferies' institutional platform in this market and thinking outside the box.
Registered Rep. February 1, 2012 Charles Paikert	Digital Dangers Wealth management firms have embraced the efficiencies of technology like everyone else. Yet these firms should adhere to a much higher bar of security than others, given the personal financial information they have access to.
Registered Rep. February 1, 2012 Diana Britton	IMCA Roundup: A Ray of Hope in Equities, Munis A panel of high-profile investment strategists at the Investment Management Consultant Association's conference in New York found a few rays of sunshine beginning to peak through the gloom: equities and municipal bonds.
Registered Rep. February 1, 2012 Jerry Gleeson	Focus Financial Obtains New Credit Line for Acquisitions Focus Financial Partners' pockets just got a lot deeper. A consortium of banks approved a credit facility of up to $320 million for the New York City-based registered investment advisor aggregator, almost double the size of its previous facility of $155 million.
Registered Rep. February 1, 2012 Kristen French	Talk to Her: How to Keep Women Clients Nearly one-half of every financial advisor's book is controlled by women, but unless advisors learn the nuances of communicating with these clients, they could disappear at the drop of a hat.
Registered Rep. February 1, 2012 Joshua Brown	The Reformed Broker: Scapegoats and Trigger Men Why do people hire financial advisers? The answer might surprise you. Sometimes they are merely looking for someone to pull the trigger for them when they're too shell-shocked to invest for themselves.
CRM February 2012 Leonard Klie	Consumers Want NFC-Enabled Mobile Wallets An analyst firm predicts that mobile shopping will create a multi billion-dollar industry for credit card companies, online retailers, and mobile operators.
Registered Rep. January 31, 2012 Jerry Gleeson	Five Popular Investment Myths Here are five popular investment myths held by clients and how to gently tell them the truth.
Registered Rep. January 30, 2012 Kristen French	Due Diligence: Financial Firms Still Get no Love From Public The general public's general opinion of financial services firms has declined in the past year.
Registered Rep. January 27, 2012 Kristen French	Due Diligence: FINRA's Merrill Fine is a Tap on the Wrist This week, FINRA fined Merrill Lynch $1 million for making it hard for former brokers of the firm to fight back in bonus disputes.
Registered Rep. January 3, 2012 Jerry Gleeson	Raiders of the Wirehouse Ark The emergence of HighTower as a major player in the independent space also dovetails with the changes that have shaken the wirehouse industry since the 2008 financial crash.
Financial Advisor January 2012 Eric Rasmussen	Advisors In A Darwinian World In a more competitive landscape with strained markets, advisors are relearning how to survive.
Financial Advisor January 2012 Brian Hamburger	Who Will Start The Revolution? Big firms give "Big Brother" nod to social media.
Financial Advisor January 2012 Dan Moisand	Are Clients Ready To Retire? Money is important, but various studies offer surprising findings on what matters the most.
Financial Advisor January 2012 David Lawrence	Mission Critical How do firms translate fiduciary concepts into their day-to-day operations?
Financial Advisor January 2012 Mitch Anthony	'I Saw The Movie' How your clients' brain circuitry may be short-circuiting their investment plans.
Financial Advisor January 2012 Bruce W. Fraser	Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm.
Financial Advisor January 2012 Joel P. Bruckenstein	Fast, Easy Game GoalgamiPro is a household balance sheet diagnostic tool that is being offered directly to independent advisors for the first time. A similar version has been available to advisor clients of select financial institutions for about a year.
Financial Advisor January 2012 Marla Brill	Making The Cut Financial Advisor and Private Wealth magazines announce their inaugural all-star research team.
Financial Advisor January 2012 Jeff Schlegel	Pursuing Payouts Income-starved investors turn to dividend-paying strategies.
Financial Advisor January 2012 Jerilyn Klein Bier	College Crunch Advisors should start asking clients where their kids may want to attend college when the kids are high school freshmen or even in middle school, says Mazareas. There's a lot to talk about.
Financial Advisor January 2012 Gail Liberman	State Of Affairs Most clients are unaware that state death taxes can take a substantial cut of an inheritance.
Financial Advisor January 2012 Ben Mattlin	Health-Care Contingencies These days, retirement planning isn't complete without a healthy dose of health-care planning.
Financial Advisor January 2012 Edward K. Riley	Ask Questions First Before deciding to change firms, the first question to ask is what has been good (and bad) about your current firm?
Financial Advisor January 2012	Advisor Emporium Amerivest Offers Supplemental Income Portfolios... Security Benefit Chooses Fiduciary Provider... Securities America Creates Practice Transition Center... BAM Launches Social Security Optimizer... more...
Financial Advisor January 2012	Frontline News Advisors who want to recruit Gen X and Gen Y members as clients should look to the children of their existing clients who are in or near retirement.
Financial Advisor January 2012 Evan Simonoff	Through The Fog Since the middle of the summer, financial advisors and their clients have been whipsawed by equity market volatility as they have gotten bombarded by a continual stream of negative news, most of it from Europe.
Financial Planning January 1, 2012 Ann Marsh	The Largest RIAs Race to Scale RIAs work to address their top challenges: boosting their efficiency, customizing their technology and differentiating themselves from the competition.
Financial Planning January 1, 2012 Glenn G. Kautt	Changing Gears Should business owners avoid people who abhor change? Absolutely not. While significant changes for every firm and the individuals working there are necessary to succeed and grow, not all are successful at making them.
Financial Planning January 1, 2012 Bob Veres	True Cost of Tactical Management Investment companies are going to be facing very different selection criteria than in the past.
Financial Planning January 1, 2012 John J. Bowen, Jr.	Money Belters Most planners never pay attention to the way they sound. You don't have to make this mistake, if you realize your voice can really help you get -- and keep -- the attention of highly desirable affluent clients and prospects.
Financial Planning January 1, 2012 Donna Mitchell	Other Assets Wealth management firms have started adding alternative investments to their menu of choices to meet the desire of clients to reduce volatility in their portfolios.
Financial Planning January 1, 2012 Donald B. Trone	Stepping Up There's something vital to financial planning that regulators can't regulate, legislators can't legislate and lobbyists can't influence. It's called leadership.
Financial Planning January 1, 2012 Charles Farrell	Retirement by Design Helping investors live off their wealth is a very different business from helping them build wealth. But managing retirement income is something every advisor needs to learn how to do -- and soon.
Financial Planning January 1, 2012 Suzanne McGee	Going for Growth Growth stock investing these days is a far more perilous pastime than it used to be.
Financial Planning January 1, 2012 Mark Tibergien	Moving Parts Once you have begun to look at the patterns unfolding in your advisory firm, it will be time to ask several critical questions.
Financial Planning January 1, 2012 Joel Bruckenstein	Salesforce: More than Just CRM Social enterprise software is still in the early stages of development, but there is clearly a social media revolution taking place that advisors can't afford to ignore.
Financial Planning January 1, 2012 Ed Slott	On Guard Even if a client has a self-directed IRA outside your purview, holding documented discussions of the perils could go a long way to protect you as well as your client. It's a good way to show your IRA expertise.
Financial Planning January 1, 2012 Donald Jay Korn	One and Only Planners have been hearing about and preparing for the baby boom ever since the first 1946er became a client. Yet their single-minded focus on boomers may mean they've missed another demographic trend: the singles surge.
Financial Planning January 1, 2012 Jim Grote	Organization Man David Strege loves to organize. It shows in his planning business, which is structured in a way that lets clients pay lower fees for assets under management than they would at most other firms.
Financial Planning January 1, 2012 Scott Wenger	Learn from the Leaders A quick guide to several articles about RIA leaders and details about the industry.
Financial Planning January 1, 2012 Donna Mitchell	Hot Topics SEC enforcement actions... Heartland hails dividends... Regulatory changes & volatility top concerns for retirement advisors...
Financial Planning January 1, 2012 Donna Mitchell	Who's Afraid of Social Media? Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions.
Financial Planning January 1, 2012	Calendar January and February 2012 meetings and events of interest to financial advisors and planners.
On Wall Street January 1, 2012 Frances A. McMorris	The Year of Movement Whether firms are just getting aggressive or retention packages are losing their grip, advisors are watching their own bottom line.
On Wall Street January 1, 2012 Rob Stein	Here Comes The Contraction -- And It Could Be Good For Us Rather than believe the sky is falling again, this time there is cause for optimism.
On Wall Street January 1, 2012 Michelle Lodge	Five Questions With Bryan Clontz Philanthropy is alive and well, contends Bryan Clontz, who co-founded Charitable Solutions LLC, a planned-giving, risk-management consulting firm.
On Wall Street January 1, 2012	Who's News UBS AG has named Robert J. McCann chief executive of UBS Group Americas... Raymond James shifted its leadership team ahead of the expected departure of Raymond James Financial Services Chairman and CEO Dick Averitt next year... more...
On Wall Street January 1, 2012 Todd Colbeck	Becoming A Lean, Mean Referral Machine Referrals are the best marketing system selected by advisors when surveyed -- particularly for the high-net-worth client.
On Wall Street January 1, 2012 Alan J. Foxman	The Disclosure Dilemma When and what needs to be disclosed on the U4?
On Wall Street January 1, 2012 John Diehl	Lifting The Cloud Over Annuities Anyone who sells annuities knows two things to be true: annuities can deliver significant value to clients and they are also one of the most misunderstood financial products on the market.
On Wall Street January 1, 2012	Anthony 'Tony' Roth UBS's Anthony 'Tony' Roth talks about his career and how he got where he is today.
Finance & Development December 2011 Rajan & Ramcharan	Land for Sale Clues to whether easy credit causes booms and busts in asset prices can be found in U.S. farmland prices a century ago
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