Investment Advisor July 2007

Features

  • Therapeutic Finance

    A while ago, I took part in a committee retreat about teaching communication and counseling-related skills to financial planners. The discussion was sponsored by the...

  • Birth of a Profession

    The independent adviser profession--or "investment counseling," as it was originally called--owes its existence to a convergence of events and influences in the first quarter of...

  • A Long-Short Story

    Thinking about an absolute return strategy during a period where some major market indexes are at, or near, all-time highs may not sound intuitive, but...

  • Like Father, Like Daughter

    There are almost as many different types of financial planning firms as there are individual financial planners. There are firms consisting of multiple generations of...

Beginnings

Columns

Conclusions

Sidebar Stories

  • Extending the Brand

    It's not an item found at a ship's chandler nor a fashion icon. Pershing's iNautix (USA) is a new business unit that provides, according to...

  • Helping Therapists Get Over Moneyphobia

    The vast majority of psychotherapists are money avoiders. If a client brings up the subject of money, therapists often (consciously or unconsciously) deflect the discussion...

  • Behind the Numbers, with Sam Stovall

    Sam Stovall, S&P's chief economic strategist, has maintained a high percentage of assets allocated to stocks this month. Within that percentage, Stovall recommends underweighting U.S....

  • About the Manager

    R.H. Dillon is CIO of Columbus, Ohio-based Diamond Hill Investments, and CEO and president of its publicly traded parent, Diamond Hill Investment Group Inc. (DHIL)....

  • Getting Over Therapyphobia

    For a number of advisors, even the mention of "therapy" or "therapeutic" evokes a negative reaction. This resistance is often due to concern that they...

  • Sayonara to Insurance B/Ds?

    Insurance companies selling off broker/dealers has been a growing trend that is likely to accelerate into 2010. In 2000, for instance, Fortis sold off its...

  • Reviewing the Situation

    The National associAtIon of Insurance Commissioners is taking other actions with regard to the reports of LTC insurance abuses. While NAIC President-Elect Sandy Praeger, insurance...

  • Compliance Crisis

    Brokers are losing much valuable time to compliance issues each week, according to a new study by Katherine Vessenes of Vestment Advisors, Inc. of Minneapolis....

  • Tips for the Newly Employed

    Carry cash--without a credit card, there's no temptation to buy beyond your means. Know where your money is going--keep track of purchases by making...

  • A New College Planning Tool

    ChannelMining Solutions, a Boston-based strategic consultant to the financial services industry, recently launched a Web-based college-planning tool that advisors can use to help clients map...

  • Performance Anxiety

    Investors and their advisors have enjoyed a pretty good relationship over the past few years, helped by a steady bull market that has seen investors'...

  • For More Information . . .

    Barry Duncan's What's Right With You: Debunking Dysfunction and Changing Your Life (HCI, 2005) shows readers how to tap into their inner resilience and...

  • William M. Topkis

    Topkis Financial Advisors 910 Foulk Road, Suite 100 Wilmington, Delaware 19803 Phone: 302-654-4444 Web site: www.topkisfinancial.com Year practice started: 1994 AUM: $50 million Number of advisors in firm: two Number of clients: 100 Compensation:...

  • Really, a Life Planner

    Bill Topkis talks about making the transition from a career in the insurance business to one as a fee-based financial advisor: "In '94, when I walked...

  • The B/D Exemption Rule Is Gone, What's Next?

    Now that the Broker/Dealer Exemption Rule 202(a)(11)-1 which exempted brokers from regulation as an investment advisor even when they were being paid fees for investment...

  • Ferdinand Pecora: Crusading Investigator

    Facing him in the dock were some of America's most influential men, whose names were synonymous with power, privilege, and great wealth. But Ferdinand J....

  • Finding the Best Healthcare Options

    The news about the cost of healthcare is scary for most Americans, but healthy young students probably think it's one of their lowest priorities. Nearly...

  • Depression-Era Financial Reforms

    Glass-Steagall Act of 1933: Prohibited most securities activities by commercial banks. Separated commercial banking from investment banking. Securities Act of 1933: Regulated the issuance of...