Investment Advisor October 2006

Features

  • Culture Management

    Every company has a unique culture. Compare GE to Nordstrom, Southwest Airlines to Fidelity, or The Ritz to Microsoft. Each is an example of an...

  • Getting With The Act

    Hailed as the most sweeping reform of America's pension laws in over 30 years, the Pension Protection Act of 2006 (PPA) was signed into law...

  • Harvest Time All the Time

    Financial planning, tax management, and investment management. At Brinton Eaton Wealth Advisors, a fee-only firm in Morristown, New Jersey, says Jerry Miccolis, a senior financial...

  • Life Support

    You don't have to be told: advisors are a busy lot and easy access to investment-related information is an important matter. In fact, according to...

  • Stepping Into The Great Wide Open

    The concept of open architecture at banks that have a private wealth management capability is not new. For a number of years now, private banks...

  • Core Diversification

    Advisors use many techniques to make clients' portfolios geographically and industrially diverse, from including international funds along with U.S. mutual funds, to selecting a group...

  • All-Pro

    Most advisors don't see all that many clients who are in their 20s and even fewer young men of that age with millions of dollars...

  • Standing Tall

    For as long as there have been things to invest in, from seeds and livestock to railroads and cars, from the telephone and electric utilities...

  • Southern Exposure

    The Canadians are coming, the Canadians are coming! Spurred by a strong currency and a mature domestic market lacking in significant growth opportunities, some of Canada's...

Beginnings

  • About That Sideways Market...

    Regarding the article, "The Role of Equity-Indexed Annuities" in the August 2006 issue, I would like to bring into question some of the arguments used...

  • 'Tis the Season(ality)

    Attempts to predict the direction of the stock market run the gamut from the sublime to the ridiculous. Besides the usual suspects of fundamental and...

  • Asset Allocation Report

    To learn this month's recommended asset allocations of Investment Advisor's panel of distinguished economists and money managers, click here. Behind the Numbers, with Gary Shilling "I think...

  • SRI and Hedge Funds

    Socially responsible investing (SRI) assets have been growing at a significantly faster rate than total assets under professional management, particularly among non-profit and faith-based organizations,...

  • Remember To Pay The Mortgage

    Mortgage-backed securi-ties, a somewhat overlooked, though very large, section of the fixed-income universe, are becoming more attractive to investors in light of a softening housing...

  • The Young & Not-So-Young

    This past August, the Financial Planning Association gave us a glimpse of the future leaders of the profession by hosting its first-ever NexGen 2006 conference. The...

  • Shrinking the Software Pond

    After a seven-month process, from roadshow to handshake, Emerging Information Systems Inc. (EISI), maker of NaviPlan financial planning software, closed the deal on its acquisition...

  • Taking It to The Hill

    Independent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September...

  • Catching up with...

    With 20 years of investment management experience under his belt, Tom Grzymala is on a mission to see that "the full meaning and spirit of...

  • Numerology

    According to a recent U.S. Census Bureau report, the number of Americans covered by a government health insurance plan as of 2005 was 38.1 million,...

  • Groupthink

    The National Association of Personal Finance Advisors has elected its National Board for 2006-2007. Among the Board's priorities is further development of the Focus on...

  • Upgrades

    Forty-three percent of small businesses with fewer than 20 employees say cost is the biggest hurdle preventing them from offering a 401(k) plan to workers,...

  • Light Shiner

    "My major crusade at the moment is absolute returns," barks Gene Balliett over the phone in describing his current passion. He's been down other roads...

  • Strategies and Strategists

    In his IA Leader's Interview in the October 2006 issue of Investment Advisor, Gene Balliett of Balliett Financial Services in Winter Park, Florida, discusses how...

  • Get Your Arms Around It

    In a conversation late in August that formed the basis for an interview in this issue, I asked Jerry Miccolis, a CFA, CFP, and an...

Columns

  • The ABCs of IOUs

    Most financial advisors would prefer to sell their practice to their junior associate or associates. Yet in-house deals are notoriously hard to put together. For...

  • Swimming With The Sharks

    My education on the investment banking acumen of financial planners came at the old IAFP. Early in 1990, the IAFP Board decided to sell Financial...

  • A Boon For Hedge Funds?

    Hailed as the most sweeping overhaul of the pension system in decades, the Pension Protection Act of 2006 is touching all facets of the financial...

  • Nothing but Fear Itself

    With the world bedeviled by random acts of terror, it's ironic to be approaching a time of year when we normally look forward to being...

Conclusions

  • ETFs for 401(k)s Are OK

    Now that the Pension Protection Act has become law, plan sponsors should refrain from using money market and stable value funds as default options in...

  • Advancing the Conversation

    Death. As a topic of conversation, it is obviously not a favorite for most people. Yet death, and its profound and multi-layered impact on unprepared...

  • News & Products

    Offering a much-needed solution to traditional variable annuities that levy high fees, Ameritas Direct has launched a no-load variable annuity that boasts no commission, sales...

  • UMAs & CIFs: New 401(k) Solutions

    John Newman's group at Denver-based Fiserv ISS is poised to take advantage of the new trend toward outside management of asset allocation in retirement plans--and...

  • Seeking Liquidity

    Despite the enormous potential the life settlement market offers, experts are not sure how quickly it will get going. There has been too much confusion...

  • NASD Notice 06-38

    Download a copy of the notice NASD sent to its members in August here.

  • What Matters Most

    When we asked reps to rate their broker/dealers in the 16th annual IA Broker/Dealer of the Year Poll, reps got to vote in 15 categories....

  • News & Products

    How sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS, and the approximately 340 reps in those 51 branches are being...

  • The Times Are A-Changing

    In an August 22 presentation, Mindy Lubber, president of the environmental and investment coalition Ceres, baldly said that global warming is "the greatest threat the...

  • What's Behind Us Is the Future

    Any serious discussion about the management of wealth or how to invest should begin with a basic understanding of human behavior, of when and why...

  • Fungos and Legacy

    On a beautiful Saturday this past May I sat at a baseball field in Raleigh, North Carolina, watching 40 or so youngsters participate in a...

Sidebar Stories