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Financial Advisor January 2007 Raymond Fazzi	Collaring Peace Of Mind Asset allocation and diversification are the principal risk management tools used by an advisor in a typical client portfolio. An equity collar strategy offers a different take on risk management.
Financial Planning June 1, 2005 Mark S. Longo	The Options Option When and why should financial planners consider using options in client portfolios?
BusinessWeek February 20, 2006 Adrienne Carter	Putting A Collar On Investment Risk Options-based strategies can keep stock losses from getting out of line.
Financial Planning July 1, 2005 David A. Twibell	Too Much of a Good Thing To avoid considerable risk, clients with a large part of their wealth tied up in one company's stock need to diversify or hedge these concentrated positions.
Financial Advisor March 2011 Somnath Basu	Back To Basics Advisors don't need to rely on complicated models to help clients avert losses.
Registered Rep. July 21, 2006 Kristen French	Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning.
Financial Advisor September 2008 Andrew Dodds	Uphill Climb The catastrophic losses suffered by Bear Stearns employees should serve as a wake-up call for all financial advisors. Investment portfolios intended for retirement must be adequately diversified.
Financial Planning December 1, 2008 Suzanne McGee	The Perfect Alternative Is there an asset class for your clients portfolios whose price moves in the opposite direction to that of mainstream investments like stocks and bonds?
Investment Advisor March 2009 Melanie Waddell	Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning.
CFO April 1, 2006 Ronald Fink	Overexposed With questions being raised on prepaid variable forwards, many executives may be scrambling for an alternative way to diversify -- and defer taxes. So what should executives with large concentrations of one stock do to diversify and avoid, or at least defer, taxes?
On Wall Street September 1, 2009 Helen Kearney	What Clients Want Now Clients are upset and they're voting with their feet. But instead of bemoaning your woes, you should view this as a time to prove your worth.
Financial Advisor June 2011 Timothy P. McGrath	Expect To Work Harder Advisors need to communicate with clients more and provide them with more active portfolio management.
Financial Advisor June 2007 Raymond Fazzi	Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.
Financial Advisor March 2012 Bernie Clark	The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.
Financial Planning October 2, 2007 Suzanne McGee	Higher and Higher Today, there are more than 9 million Americans with at least $1 million to invest. Even for the best-prepared and best-educated advisor, a time may come when they need to consider whether continuing to work with their ultra-affluent client is in the best interests of both parties.
Registered Rep. September 1, 2005 Grove & Prince	Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors.
Investment Advisor April 2009 Lewis Schiff	Danger & Opportunity: Seling Wisdom Advisors with a wealth-management practice orientation can provide the kind of services affluent families need during difficult market times.
Financial Advisor November 2008	Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.
Registered Rep. October 1, 2005 John Kador	Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.
Financial Planning January 1, 2013 Joseph Lisanti	Concentrated Effort: Investing in Focused Funds Having a lot of stocks in a portfolio reduces risk, but holding a limited number of positions can produce home runs.
Registered Rep. April 1, 2006 Gresham & Gresham	The Rewards of Risk Review One thing that everyone should agree on is the need to take a good hard look at the risks a financial advisor can help clients deal with financially, from the risk of having to pay damages in a lawsuit to the risk of outliving their resources.
Registered Rep. November 1, 2004 Will Leitch	The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all.
Financial Advisor June 2006 Tom Lydon	Ten Myths Busted At Tiburon Summit Discussions at the Tenth Tiburon Strategic Advisors CEO Summit helped dismantle myths about investments, boomers and more.
On Wall Street January 1, 2009 Judith Schoolman	5 Questions with Christopher Warren Christopher Warren, who worked at Bankers Trust, General Re, Goldman Sachs and ABN Amro before joining DWS Investments in 2006, speaks about the growing importance of retail structured products to financial advisors.
On Wall Street November 1, 2010 Gallant & Schneider	Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable.
Financial Advisor November 2006 Tracey Longo	Conference Roundup Meeting the demands of baby boomer clients led content at the 8th Annual Financial Advisor Symposium.
Financial Planning September 1, 2005 Kathy Gevlin	Bookshelf Managing Concentrated Stock Wealth: An Advisor's Guide to Building Customized Solutions, by Tim Kochis shows advisers how to minimize risk and maximize opportunities for clients with a significant portion of their wealth in one stock.
Registered Rep. September 1, 2005 David A. Geracioti	You Say, They Say In an industry survey that covered a range of issues, from estate planning to choice of investment products, the responses by wealthy clients and advisors showed a striking disconnect about the needs of high-net-worth individuals.
BusinessWeek June 21, 2004 Anne Tergesen	Letting Go Of Your Big Winner You've made a fortune on one stock. But now is the best time in decades to diversify.
Financial Planning September 1, 2010 Donald Jay Korn	Covering the Risk If the market continues to move sideways, a classic investment strategy may make sense - selling covered calls.
Registered Rep. October 1, 2004 John Kador	Cultures In Conflict When Schwab's then CEO David Pottruck decided to purchase U.S. Trust to help service clients, he probably did not give enough consideration to the intangibles involved -- like customer loyalty, corporate culture and historical identity.
Financial Advisor November 2011	Frontline News Managing volatility in unstable markets... Patent -- and potential hassles -- pending over wealthcare case... Bank on it (not)...
Financial Planning June 1, 2007 Steve Savage	Consider the Alternatives Think twice before pitching hedge funds and private equity to your financial advisory clients.
Registered Rep. August 26, 2011 Jerry Gleeson	Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.
Registered Rep. January 1, 2003 Steve Gresham	Zeroing In on the Managed Account Customer Managed accounts are all the rage, but they may not be right for every client. Here are some classic client types who might best be served with managed accounts and some matching marketing strategy for each.
Financial Planning July 1, 2007 Donald Jay Korn	Hot, Hot, Hot Private equity is the talk of the town, but there is nothing particularly easy about getting into top-tier funds.
Financial Planning June 1, 2012 Ann Marsh	Women Advisors Forum/Chicago: Strategizing to Grow Top female advisors from across America will gather in Chicago on June 12 for a one-day intensive session at SourceMedia's next Women Advisors Forum to share the secrets and strategies they use to boost their practices.
On Wall Street June 1, 2011	The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.
Financial Planning December 1, 2006 Marshall Eckblad	The Retirement Puzzle Serving retirees might be a lot less profitable than most financial planners imagine. There are certainly opportunities in catering to this wealthy crowd, but only if you know where to look.
Financial Advisor February 2004 Sydney LeBlanc	Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.
Financial Advisor November 2004 David A. Twibell	Understanding Exchange Funds Diversify clients' concentrated positions while deferring taxes with exchange funds.
Investment Advisor April 2006 Maya Ivanova	Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements.
Investment Advisor January 2007 Bob Clark	The Trust Threat Financial advisors need to rethink adding trust services to their offerings.
Registered Rep. September 30, 2014 David Armstrong	Editor's Letter: October 2014 The wealth inequality gap is not between rich and poor, it's between the high-net-worth households and everyone else, including the middle class, who have not seen a significant increase in their middling net worth in over a decade.
Financial Planning September 1, 2009 Suzanne McGee	The Athletic Portfolio In this environment, a good portfolio is one that rides out storms and takes advantage of opportunities -- one that demonstrates strength, flexibility and endurance. What should financial advisors do to deliver peak performance for clients?
Wall Street & Technology March 19, 2007	Finding Liquidity in Derivatives Instruments Is Traders' Biggest Challenge Despite substantial growth in derivatives trading in recent years, much of equity derivatives volume is concentrated in the most-liquid contracts.
Financial Advisor May 2008	Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... etc.
Financial Advisor April 2006 Grove & Prince	More Secrets Of The Elite 1200 In this third part in a series examining the characteristics of financial advisors who earned a minimum of $1 million per year in each of the past three years, these advisors show how using a basic process helps to capture additional assets from clients.
Registered Rep. June 1, 2006 Kevin Burke	Schwab's Secret Success With more and more brokers going independent these days and open architecture on the rise, Schwab may very well bridge the gap between industry behemoths like Vanguard and Fidelity sooner than you think.
Registered Rep. September 10, 2003 David A. Gaffen	Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough.