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Articles published 5/2010


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In turbulent economic times, withdrawal rates need to be revisited frequently and adjusted to reflect the shortening of a retiree’s timeframe.

Structuring distribution strategies for retirees in a bear market

In this piece, which won an honorable mention in IMCA's 2010 Stephen L. Kessler Writing Award contest, Jack Gardner explores options for conserving retirement portfolios.

May 31, 2010 – 4:41 AM

Fred Bruckner: Maybe the small investor knows something advisors don’t.

Performance measurement challenges for investors who live in a perpetual time horizon world

Columnist Frederick C. Bruckner argues that trustees can afford greater patience with the investment managers they choose.

May 31, 2010 – 4:40 AM

Risk increases with time, making future levels of wealth more difficult to predict.

Of Trumpets and Tulips: Is time diversification a myth or reality? Does time horizon affect the tolerance for risk?

Since risk grows at a slower rate than cumulative return, the ratio of return to risk improves with time

May 31, 2010 – 4:39 AM

Peter Savarese: If the DOL does its job and promulgates 408(b)(2) as expected, all RIAs will have a competitive advantage

A compliance attorney fields four tough 401(k) questions amid crossfire provoked by Ric Lager's column

Peter Savarese's answers show how RIAs can manage 401(k) assets and avoid land mines

May 28, 2010 – 4:39 AM

NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

May 28, 2010 – 4:37 AM

David Brochu says in an e-mailed letter: If Focus wants me to leave I will do so.

Brochu drops lawsuit against Focus Financial but $500,000 is still at issue

Rhode Island advisor backs off initial suit after getting most documents

May 27, 2010 – 4:27 AM

Gerri Leder: After you freshen up your story or strengthen your value proposition, be sure to share it with longstanding clients as well as new ones.

Selling your value proposition

Gray hairs have a leg up in this market. Younger advisors rely on their ability to explain their process

May 27, 2010 – 4:26 AM

Nicole Spinelli: The symposium, along with the Network’s other events and programs held throughout the year, is designed to supercharge the success of women financial professionals across the nation

Raymond James names new head of its Women's Network

Nicole Spinelli brings recruiting experience and a women's studies babckground

May 27, 2010 – 3:34 AM

Tom Nally: I think joiners are going to take the breakaway trend to the next level.

9 things to know about the breakaway-to-RIA movement and why it's likely to get bigger

In a down market, RIAs need a new growth strategy and small brokers a safe landing place

May 26, 2010 – 7:18 AM

Articles in the mainstream media have framed Mary Schapiro as an outsider set to clean up the Street.

How Time magazine's "Sheriff" article about Mary Schapiro, Sheila Blair and Elizabeth Warren misses the mark

Applying the busting-through-the-glass-ceiling narrative to women presumes that they haven't already

May 26, 2010 – 7:18 AM

Ric Lager:  I have never given a bag lunch seminar over lunch hour in the company cafeteria.  Hell, I don’t even have a PowerPoint presentation on the topic.
May 25, 2010 – 4:57 AM

Les Abromovitz: For compliance purposes, image must be grounded in reality. Advisers should not attempt to project the image that they are miracle workers who will be successful in every market.

Compliance GPS: It may be a mistake to project too successful an image, especially in a post-Bernie Madoff world

Hint: photos of you on a yacht may not be what your clients are looking for right now

May 25, 2010 – 4:57 AM

Mike Byrnes: Prospects are going to advisor websites and other online sources to do their due diligence before requesting initial meetings.

Seven things advisors need to know about social media

Shocking but true: In a connected world, the number of Google hits your firm gets increases your credibility. Social media can help.

May 25, 2010 – 4:22 AM

Craig Gordon: We have 2,400 in-house advisors. It would be very different if I told you it was 24,000. The commitment in that channel would be too big to disrupt..

Royal Bank of Canada is hustling to become an RIA custody force

RBC Advisor Services weaves together RIA businesses of old Dain Rauscher and old Bear Stearns

May 24, 2010 – 5:50 AM

Liz Ann Sonders: It's clear that both the US and global economies are well into recovery, and even expansion mode.

Double-dip market disaster on tap next? Not likely, say pundits from Schwab, Fidelity, Barron's and Seeking Alpha

Digest of recent pundit writings counters view of Joseph Stiglitz that consumers are out of bullets

May 24, 2010 – 4:31 AM

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