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The Best and the Brightest

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        Tony Greene: The Industry's Leading Advocate For The Independent Advisor, Financial Planning And Fee-Based Advice, Retires From Raymond James by Stephen C. Winks. Tony Greene raised the industry-redefining question: "What if an independent broker/dealer offered a high pay-out at the same level of support of a full service firm?" Tony Greene and IM&R changed the independent broker/dealer business model ... qualitatively, depending upon the financial advisor, either approach could be superior ... but Tony made it clear that high level advice is far more likely from the independent advisor who directly controls the deployment of resources into process, technology and staffing within their practice necessary to add value. (Download article with graphics in pdf format or download article pdf format without graphics - a faster download.)

        Greg Phipps, The Pioneer of the PM Business, to Head Consulting at Montgomery Securities by Stephen C. Winks L. MacGregor Phipps has been named managing director of Investment Management Consulting of the Private Client Group of Montgomery Securities, an investment banking and brokerage affiliate of Bank of America. Montgomery is one of the four highly successful investment banking firms which have been in the forefront of financing a broad range of technological innovation over the past 20 years, which have played a significant role in the emergence of the new economy, the resurgence of the NASDAQ and the renewal of the entrepreneurial spirit in American industry. (Download in pdf format)

        Fiduciary Responsibility, Part III - What Will It Take to Make It a Profession? by Donald B. Trone. Shouldn't we be held at least the same, if not arguably higher, fiduciary standards than those of our clients? (Download in pdf format)


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        Merrill Names Stan O'Neal to Head Its Brokerage Unit, Firm Enters Phase II of Internet Revolution by Stephen C. Winks. O'Neal is the first person to lead the Brokerage unit who has not come up the brokerage ranks, but because over the next decade literally everything a broker now knows and does will become outdated or obsolete, a different skill set is required to move the firm forward. (Download in pdf format)

        CitiGroup's John Reed Retires, Sandy Weill to Unify Two Disparate Cultures into a New Business Paradigm by Stephen C. Winks. Sandy Weill's challenge is to create a unifying vision and to build the processes and technology which will both empower the firm to add value and streamline its organizational and cost structures, while developing a client-driven service culture that is geared to adding value. (Download in pdf format)

        Granzow Named President of CapTrust by Stephen C. Winks. CapTrust, the innovative broker/dealer and registered investment advisory affiliate of Wachovia Securities, has named John Granzow president. Ed Dalyrumple, CEO of CapTrust, will retain that position and will assume the larger responsibilities of managing all branch activities within Wachovia's three brokers/dealers (IJL Wachovia, CapTrust and Wachovia Securities). The Charlotte, North Carolina-based firm is one of the few financial services firms in the U.S. built entirely around investment management consulting and the thesis of adding value in terms specifically meaningful to each client. (Download in pdf format)

        Who's Who of Investment Management Consulting Created by Stephen C. Winks. PCT Publishing, the publisher of Senior Consultant, has announced the creation of the Who's Who of Investment Management Consulting, comprised of the leading consulting practitioners in the U.S. and Canada. (Download in pdf format)

        Consultant Profile: DeWees Investment Group by Stephen C. Winks. When you look around the investment management consulting industry at highly successful consulting practitioners, you will find the more assets one has under management, the more likely their practice will have an institutional focus. The consulting practice of the DeWees Investment Consulting Group is exceptional in that and in many other ways. The DeWees practice parallels the evolution of the investment management consulting industry, illustrating how one can convert a large commission brokerage book into an even larger consulting practice. (Download in pdf format)


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        Consultant Profile: Vic Rosasco, Prudential Securities by Stephen C. Winks. Vic Rosasco's career paints a fascinating picture of how today's investment management consulting business has evolved over the past 40 years. It is particularly interesting how one technology breakthrough leads to another and another in such a fashion that no one could have foreseen today's advanced investment process technology designed to address a broad range of values not imaginable, even ten years ago. (Download in pdf format)

        What Do We Mean by Adding Value? by Stephen C. Winks. Every firm in the financial services industry would suggest that they add value. In fact, the phrase "adding value" has become so pervasive within the industry it has become a cliché. Yet the irony is that very few firms can, in fact, address even the most fundamental investment concerns of risk, return, tax efficiency, liquidity or cost structure of the assets the investor has placed under their stewardship. This is not because firms want to mislead investors; it is because we, as an industry, have not defined what we mean by adding value. (Download in pdf format)

        Consultant Profile: The Monroe Vos Consulting Group, Inc. by Stephen C. Winks. It is rare to find truly wise investment counsel. It requires not only knowledge and experience, but it also requires that the investor's interest come first. The Duke of Wellington observed, "I mistrust the judgment of every man in a case in which his own interests are concerned." Certainly in the investment business, what you don't know will hurt you. Thus, having sufficient knowledge and experience to have good judgment and being objective and accountable to the client's best interests makes wisdom rare indeed. This level of investment counsel is what makes firms like Houston-based Monroe Vos so extraordinary. (Download in pdf format)

        Consultant Profile: Fielding Miller and David Perkins, CapTrust by Stephen C. Winks. In just nine short years, Fielding Miller and David Perkins have created one of the leading independent investment management consulting firms in the state of North Carolina, with $4.5 million in revenues, $800 million under management and 17 employees. What is so surprising about Miller and Perkins' Raleigh-based business is not their extraordinary success, but the fact that they are just beginning to build their business. (Download in pdf format)

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