Investment Advisor May 2004

Features

  • It's All in the Approach

    Kip Gregory's latest book--Winning Clients in a Wired World--is also his first, but after 20 years of teaching others how to make technology work, particularly...

  • For the Long Term

    When it comes to mutual fund management, Bob Smith's approach could easily be summed up as "Slow and steady wins the race." Disdainful of those...

  • T. Rowe Price Growth Stock Fund

    800-638-5660 o www.troweprice.com Ticker: PRGFX Managers: Robert Smith Manager's tenure: 7 years Fund started: April 11, 1950 Min. initial investment: $2,500 Load (front-end): 0.00% 12(b)-1 fee: 0.00% Net assets: $6.0 billion P/E ratio:...

  • About the Manager

    Robert W. Smith is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Associates, Inc., and T. Rowe Price International, Inc., and...

  • Safe and Sound

    In the past, sensational tragedies like kidnapping, stalking, and home invasions seemed to happen to someone else. Following the events of September 11 and some...

  • A Perceived Threat

    A nationwide survey of more than 300 people conducted by Impulse Research of Los Angeles in 2001 found that families feel that home invasion, child...

  • Protect Yourself

    The NASD statistics are plain: The increasing volume of filed arbitration customer claims highlights the importance of maintaining up-to-date and complete customer account files. While...

  • Structural Integrity

    On a typical weekday afternoon when most planners are ensconced in their swivel chairs and swimming in spreadsheets, you'll find advisor John Smartt somewhere else:...

  • John Smartt

    John M. Smartt, Jr., CPA 2001 Partridge Run Lane Knoxville, Tennessee 37919 Phone and fax: 865-588-4159 johnsmarttcpa@yahoo.com Year practice began: 1993 Number of advisors in office: 1 Number of clients: 47...

  • The Bond King's New World

    In the world of bonds, there is PIMCO, and there is everyone else. Once a boutique fixed-income shop, opened 33 years ago in the placid...

  • Equity Index Funds, But With a Twist

    What's a bond firm doing in the stock market? Making a nice profit for investors, that's what. By combining stock index futures with its bond...

  • How Pimco is Beating the Market

    in Bonds... Year-to-Date 1-Year 3-Year 5-Year 10-Year PIMCO Total Return Fund* 2.70%6.20%8.35%7.98%8.19% Style peers 2.314.426.236.176.44 Merrill Lynch corporate & government master index 3.036.037.917.537.63 ...and...

  • Rollin' Along

    Planners who are contemplating a switch from commissions to fees tend to sound like people about to start a strict new diet: This will probably...

  • Transition Game

    One of the more unique players in the transition-to-fee field is Focus Point Solutions, a firm run by Brent Hicks in Portland, Oregon. Founded in...

  • A Matter of Principles

    Remember the old saw that timing is everything? In looking back at my personal journey of investing and advising clients on investing, I can testify...

Columns

  • Impersonal Finance

    In this brave new world of 2004, it's generally assumed that catering to gender differences around money is pass?. Worse yet, it's not PC. Everyone...

  • Tackling the Retirement Market

    It's no secret that advisors who have concentrated on the 401(k) business have had a pretty good run. Since 1990, defined contribution plan assets have...

  • Strategic Thinking

    Every advisory practice is faced with conflicts and pressures, opportunities and choices. To focus on providing advice to 401(k) plans, however, it's important that you...

  • Happily Ever After

    Have you ever asked a client what they would like to do after they retire, and had them say something like, "I don't know, but...

  • They're Up In Arms

    Fur is flying in Louisiana. Six independent insurance agents in the state are suing ING because they say the company is forcing them to sell...

  • Playing by the SEC's Rules

    Compliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...

  • Prepare Your Clients for the Worst

    It's an ordinary morning and you're on your way to work when the drive-time shock jock is abruptly interrupted by a news bulletin: A commuter...

  • The Cure for Advisor's Block

    You've just been asked to compose a speech, white paper, brochure, or article, and you have limited time. Most busy professionals just dive into the...

  • Disciples of Discipline

    As an advisor, one of the most important responsibilities you have--maybe the most important--is to ensure that your clients avoid making mistakes that will devastate...

  • Be Tax Sensitive, Not Tax Driven

    Much has been written about the new tax rates promulgated by last year's tax bill, but what impact have those rates had on investors, the...