The following list includes a few of the magazine articles I
wrote in 2007.
Note: CFA Institute members
can access the full text of these articles without charge.
Non-members can purchase the articles for download on the site.
Abstract: Measuring client satisfaction can pay dividends.
Abstract: Some managers may benefit from client advisory boards.
Let Them Eat Cake
Abstract: Retirement portfolio management strategies
in Tight Markets
Abstract: Smaller firms don’t have to settle for second-rate
On Second Thought
Abstract: How should private wealth management firms deal with
Duty of Care
Abstract: Standards for RIAs and registered reps
Expanding the Investment Mix Beyond Mutual Funds
Abtract: Mutual funds have been the traditional vehicle of
choice for financial planners and their clients. But
increasingly, planners are turning to separately managed
accounts and exchange-traded funds. Here’s how planners are
Planners and Coaches: A Natural Fit?
Abstract: Whom do planners turn to when they need professional
advice? Some are finding answers in coaches, who provide
guidance on everything from marketing, to balancing life and
work, to overcoming "poverty thinking."
Tech Tools for Disaster Recovery
Abstract: Hurricanes. Terrorist attacks. Fire. Hardware
failure. Most planners think they have a disaster recovery plan
in place. Yet it's likely that even the most thorough recovery
plan will encounter unforeseen problems. Fortunately, a host of
backup technologies can save the day.
It's not a matter of being bigger; it's about being
Abstract: Growth has an unexpected downside for some wealth
managers—they find their businesses encountering bottlenecks. The obstacles range from procedure to technology, but the
result is often the same: The firm develops ad hoc, short-term
solutions for each new crisis. Here’s how some firms are
solving the challenges.
Is it possible that the independent RIA model is not the only
way to offer wealth management services?
Conventional wisdom decrees that the preferred business model
for wealth managers is to operate as an independent registered
investment advisor without any broker/dealer ties. Indeed, many
independent RIAs believe that theirs is the only model capable
of delivering genuine wealth management services. But is it?
An estate plan should include stocks, bonds—and a life story.
Abstract: Several services allow clients to share their life
stories with future generations in a variety of media.