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Practice Management > Building Your Business

Scottrade’s Spirit; Pursuing Practice Excellence; Fiduciary Best Practices: July Investment Advisor—Slideshow

By Editorial Staff

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Brian Davis is a nice guy—almost annoyingly so. Most people are happy enough to talk about themselves, but Davis consistently highlights his team’s efforts in providing value and service at Scottrade’s institutional arm. “Value and cost [are] ingrained in our culture,” he tells Editor-in-Chief John Sullivan for Investment Advisor magazine’s July issue. 

In the second installment of our Pursuing Practice Excellence survey, we look at industry leaders and their views on practice management and what it means to advisors. While all the data is still coming in (look for the final chapter in the August issue of Investment Advisor), it seems clear that most advisor partner firms recognize practice management is becoming a critical part of their value proposition and are dropping big bucks to support that.

Plus, AdvisorOne partnered with fi360 for the 2012 Article Competition. In the July issue of Investment Advisor, the winner, Gregory Kasten, presents fiduciary best practices for actuarial implementation that can consistently improve 401(k) participant outcomes.

The Spirit of Scottrade: Brian Davis (and his team) trumpet value and service above all else, an attitude that has the relatively young institutional player gaining on more established rivals in the clearing and custody fieldThe Spirit of Scottrade

If you haven’t heard of Scottrade Advisor Services, you’re forgiven. Started in 2005, the institutional side of the better-known retail counterpart is coming on strong, finding a niche among Schwab, TD Ameritrade, Pershing and smaller clearing and custody firms, not to mention the entire independent broker-dealer industry. Editor-in-Chief John Sullivan sits down with Brian Davis, division head and all-around nice guy, to talk about his team and how they’ve done so much, so fast.

Read the full article.

Pursuing Practice Excellence: The Industry Perspective--In the second of a series on the findings of our breakthrough practice management study, we gauge where and how the partner firms to advisors—your custodian, broker-dealer, asset management firm or technology partner—are spending their time and dollars on practice managementPursuing Practice Excellence: The Industry Perspective

In the second installment of our inaugural AdvisorOne/ActiFi Pursuing Practice Excellence practice management study, we take an objective, comprehensive look at what advisors’ partner firms are offering advisors in the practice management arena.

For this portion of the survey, we conducted comprehensive telephone interviews with 52 industry leaders from five different categories of firms to identify the gaps between what advisors say they need and what their partners are providing. Group-Editor-in-Chief James J. Green and ActiFi CEO and founder Spenser Segal break down to survey results.

Read the full article.

Create Tangible Value in Your Fiduciary Practice: Combining fiduciary best practices with actuarial implementation can consistently improve 401(k) participant outcomesCreate Tangible Value in Your Fiduciary Practice

AdvisorOne partnered with fi360 for the 2012 Article Competition. Here, the winner, Gregory Kasten, presents fiduciary best practices for actuarial implementation that can consistently improve 401(k) participant outcomes.

Read the full article.

Beautiful Games: For Brazil, the 2014 World Cup and the 2016 Olympic Games, both slated to be held in Rio de Janeiro, are about more than just sports—they’re a chance to show politicians at home and investors abroad that the country is worth investing inBeautiful Games

Think Brazil, think soccer, then think the 2014 FIFA World Cup. Could the stars possibly be more perfectly aligned?

For a nation whose lifeblood is soccer, that was nascido para jogar (born to play) and is one of the fastest growing economies today, probably not. Add to that the 2016 Olympic Games, to which Brazil is playing host and which will, like the World Cup, greatly increase Brazil’s standing in the international community, and there’s little doubt that Brazil is on course to a far sweeter spot than the one it’s in now. Savita Iyer-Ahrestani explains how pulling off both events with aplomb will lock in the country’s many fans, international investors included, for the long haul.

Read the full article.

Time's Up 408(b)(2) ruleTime’s Up

The July 1 compliance date for the Department of Labor’s final 408(b)(2) fee disclosure rule has finally arrived, and even though the final rule was a long time coming, covered service providers have been ramping up their compliance efforts for months.

The final rule on 401(k) fee disclosures requires service providers to furnish information that will enable pension plan fiduciaries to determine both the reasonableness of compensation paid to service providers and any conflicts of interest that may affect a service provider’s performance under a service contract or arrangement.

Washington Bureau Chief Melanie Waddell dissects the rule’s requirements and how they will affect plan sponsors and their fiduciaries.

Read the full article.

Adrift on the Income StreamAdrift on the Income Stream

Perhaps the single most important issue on the minds of retirees today is how to maximize income during their golden years. However, in this period of financial repression, this task seems as difficult as convincing the pirate Jack Sparrow to quit drinking. With interest rates at historic lows, yields are compressed, leaving many struggling. Even so, there are a few hidden treasures out there if you have the right map. In this article, we will look at creating the structure for an income stream, owning rental property, secrets of the Social Security system, reverse mortgages, qualified retirement plans and annuities. Mike Patton navigates these rough waters.

Read the full article.

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