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Registered Rep. July 12, 2011 Charles Paikert	Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers.
Registered Rep. October 13, 2010 Charles Paikert	SEC Family Office Ruling Set to Open Doors for RIAs to Gather Assets RIAs can benefit from family offices' inclination to gravitate to smaller, boutique firms, as opposed to working with impersonal financial behemoths.
Registered Rep. October 27, 2010 Charles Paikert	Multi-family Offices Riding High; Single-family Offices Recovering But Nervous Multi-family offices have enjoyed strong growth over the past couple of years, while single-family offices are seeing some improvement, but are nervous about new regulation, according to two new surveys.
Investment Advisor April 11, 2011 Melanie Waddell	SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply
Financial Advisor June 2011 Mary Rowland	Keeping Family Trust New Hampshire leads the way among states using generous new laws to compete for family trust business.
Registered Rep. November 12, 2010 Charles Paikert	Single-Family Offices Ready To Make Changes: IPI Survey Four out of ten single-family offices expect to make "material changes" to the way they manage their business over the next 12 to 18 months, according to a new survey from the Institute for Private Investors.
Financial Advisor November 2004 Grove & Prince	Family Offices: Assets And Motivations Because a growing number of families want to get into or open a family office, there's never been a greater need to understand the way that family offices function, what they want and how they get it. A survey spotlights some surprising preferences and motivations.
Financial Advisor November 2006 Robert Casey	Multiplication Multifamily financial advisory offices report double-digit growth, with smaller organizations leading the way.
Registered Rep. March 14, 2012 Jerry Gleeson	The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.
Financial Advisor September 2010	Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more...
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Registered Rep. September 1, 2004 Grove & Prince	Onward, Downward The new family-office model has a very different motive: profit, as opposed to privilege.
Registered Rep. September 12, 2011 Charles Paikert	More Than Half of Single-Family Offices Outsource Investment Function Investment firms, consultants, wealth boutiques, multi-family offices and even private banks could all gain assets as this trend toward outsourcing escalates.
Financial Advisor May 2006 Louis Stanasolovich	Managed Futures: Worth A Look Most financial advisors and the general public have little knowledge of managed futures as an investable asset class, but they offer a way to increase returns and diversification in a long-term bear market.
Registered Rep. April 25, 2011 Brad Zigler	Managed Futures Mainstreamed Changes in the regulatory scheme have since allowed the creation of lower-cost commodity-based mutual funds and exchange-traded products which can be marketed by Series 7 folk and RIA associates.
Financial Planning December 1, 2005 Donald Jay Korn	Hot Commodities Real assets are on a tear. Better yet, they offer great diversification and a hedge against inflation. The current trend probably has room to run, and there are other very real reasons to allocate a regular portion of clients' portfolios to commodities.
Financial Advisor August 2004 Pauline P. Lam	Commodity Investments Help Diversify Portfolios A new tool--resampled efficiency--helps create optimal allocations. Investors can gain exposure to commodities by investing in commodity index or individual commodity futures contracts. A third option is mutual funds.
Registered Rep. October 1, 2009 John Churchill	SEC and CFTC Talk Reform The Securities Exchange Commission and the U.S. Commodity Futures Trading Commission announced Wednesday that they expect to release a report within two weeks that explains the regulatory responsibilities of each agency and recommends ways to improve their functioning.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.
Registered Rep. August 13, 2015	Four Tips for Working with Single Family Offices Here are four tips to explore to help you better understand and build a trusted advisor relationship with family offices.
Financial Advisor October 2004 Grove & Prince	Family Offices: Assets And Motivations As advisors and financial services firms vie to add the most affluent clients to their roster, the family office is at the top of the list when it comes to assets and opportunity.
BusinessWeek February 11, 2010	Gary Gensler's Wish List How the chairman of the Commodity Futures Trading Commission would reshape the financial system.
Investment Advisor June 2010 Melanie Waddell	The Regulators Never Sleep The SEC and the CFTC have formed a joint committee that will address emerging regulatory issues.
Registered Rep. December 15, 2010 Charles Paikert	Multi-family Offices See Consolidation and Customized Services In 2011 Citing high costs, especially for top talent, and a need for scale, MFO executives say they expect more firms will join forces through mergers or acquisitions next year.
The Motley Fool September 25, 2006 Rich Smith	Foolish Forecast: Resources Global The professional services firm gets ready to report its fiscal first-quarter 2007 numbers: Investors, do you want to know what Wall Street expects? Do you want to know what really matters?
Financial Advisor January 2005 Grove & Prince	The Future Of The Family Office Several new business models are fueling the growth of these firms: information drawn from the authors' latest book, Inside the Family Office: Managing the Fortunes of the Exceptionally Wealthy.
Financial Advisor March 2004	Advisor Emporium Advent for Family Offices is designed to meet the specialized investment management and reporting requirements of multi-disciplinary firms offering integrated financial advice to either single or multiple high-net worth families. The company bills it as the industry's first front-to-back solution for family offices.
Financial Advisor June 2006 Grove & Prince	Competing As A Family Office Operating as a multifamily office yields significant benefits for the advisory practice. Satisfied families will help bring other families into the office, which will increase both assets under management and fees.
Salon.com June 26, 2002 Damien Cave	Foxes guarding the chicken coop President Bush's nominees to the agency that should have regulated Enron's derivatives trading instead helped write the rules that let the company do whatever it wanted in the first place.
Financial Advisor April 2006 Matt Hougan	Rolling With Commodities Commodities can play an important role in a portfolio, and the much-anticipated Deutsche Bank commodities ETF can be a good vehicle to add them. But with oil deeply in contango, and expenses still on the high side, a shade of extra care is needed.
Registered Rep. July 26, 2012 Brad Zigler	Managed Futures: Easier To Get, But Harder To Love Obama okays advertising by hedge funds and CTAs. What effect will this have on the investment vehicles?
BusinessWeek February 11, 2010 Katz & Schmidt	A Goldman Guy Turns on the Street CFTC chief Gary Gensler's fight for tough rules on derivatives is making him exceedingly unloved.
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.
BusinessWeek July 22, 2010 Robison et al.	Amber Waves of Pain Lured by the idea of profiting from raw materials, investors put $277 billion into commodity ETFs and related securities by the end of 2009. Then they noticed a problem: When commodities go up, the commodity ETFs often don't.
Financial Advisor July 2011	Alternatives In The Spotlight Many of the 600 attendees at the second annual Innovative Alternative Strategies conference came to learn how to use these investments in client portfolios.
BusinessWeek October 14, 2010 Loder & Mattingly	Under Siege at The CFTC Congress gave regulators wide discretion to regulate derivatives, causing the Commodity Futures Trading Commission to be besieged by lobbyists.
Financial Planning September 1, 2011 Temma Ehrenfeld	The Big Idea: Diversify With Futures Your clients may balk when they hear "futures" - accusing you of straying into a fantasy of an asset class that solves all our problems. Yet finance professionals have used managed futures for decades to boost the performance of stock and bond portfolios.
CFO August 1, 2012 Randy Myers	Unfinished Business Two years after the passage of the Dodd-Frank Act, the law's implementation is far behind schedule, and its success is still in doubt.
BusinessWeek August 26, 2010 James Sterngold	Let a Thousand Regulators Bloom As agencies begin rewiring Wall Street, job openings abound.
Registered Rep. May 1, 2004 Grove & Prince	E Pluribus Unum As advisors set their sights ever higher, one of the most sought-after types of client is the family office, with advisor notions of the ideal falling just this side of Bill Gates or Warren Buffett.
Registered Rep. November 1, 2004 Shaw Grove & Alan Prince	Because They Can With more advisors chasing high-net-worth clients, family offices have officially entered "buyer's market" territory, which is bad news for those who dislike tending to the nonfinancial demands of ultrawealthy clients.
BusinessWeek February 10, 2011 Robert Schmidt	Starving the Regulators The SEC and the Commodity Futures Trading Commission are in a severe budget squeeze, and layoffs may be the only answer
Wall Street & Technology March 22, 2005 Maria Santos	Family Matters Northern Trust, already a prominent player in the family office space with approximately $100 billion in assets under administration, expects that the creation of its virtual platform will help it gain even greater market share.
Financial Advisor July 2011 Virginia Munger Kahn	Natural Selection Are futures or natural resource stocks the best way to get commodity exposure?
Financial Planning October 1, 2013 Ilana Polyak	Fund Bracing for Market Shocks Managed futures have lost some of their luster, but AQR makes a compelling case for the category.
Financial Advisor August 2009 Jeff Schlegel	Seeking Alternatives Managed futures generate interest as people pick up the pieces of their shattered stock and bond portfolios.
Financial Planning March 1, 2005	Mutual Fund Monitor Commodities futures have unique diversification properties and, on average, perform well whenever stocks and bonds have done poorly.
Registered Rep. October 9, 2008	Smith Barney Closing Branches, Letting Managers Go As part of a larger cost-cutting effort, Smith Barney is consolidating some of its branch offices and laying off a number of its branch managers.
Financial Planning November 1, 2006 Donald Jay Korn	Hard Choices Exchange-traded funds and notes provide more options for financial planners who want exposure to commodities.