Investment Advisor-April 2005

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  • Riding the Wave

    Maya Ivanova

    The registered investment advisor marketplace has rebounded in recent years, with advisors building assets under management and revenues returning to pre-dot-com-crash levels. Yet new and...

  • Savings Initiative

    Staff Writer

    Senator Craig Thomas (R-WY) and Rep. Sam Johnson (R-TX) introduced legislation last month calling for the adoption of the Bush Administration's savings accounts--Lifetime Savings Accounts...

  • Fidelity Versus Schwab

    Staff Writer

    Fidelity's advice offerings are not as broad as Charles Schwab's. For instance, Fidelity does not advise on individual stocks. It does offer Lehman Brothers' research,...

  • What's the SEC spending?

    Staff Writer

    One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...

  • Pay Off That Mortgage, or Not?

    Ben Warwick

    Aptly called the American Dream, home ownership is being enjoyed in ever-increasing numbers. A combination of low interest rates and a long boom in real...

  • How GM and CTA Strategies Play Out

    Staff Writer

    Last month, we examined some of the characteristic differences between global macro (GM) and managed futures programs offered by commodities trading advisors (CTAs): two directional-biased...

  • Satisfaction Guaranteed?

    Staff Writer

    A recent private-letter ruling issued by the SEC giving advisors the okay to provide certain new clients with a "satisfaction guarantee" is causing quite a...

  • and Now for Something Completely Different

    Staff Writer

    When it comes to software for advisors, there always seems to be another company emerging with a new problem-solving piece of software. It's not uncommon...

  • For Your Bookshelf

    Staff Writer

    Here's my list of the best marketing books (modesty prevents me from mentioning any written by a certain L. Chambers). To order, you can visit...

  • CTA QUESTIONS AND ANSWERS

    Staff Writer

    What's the minimum investment? Traditional CTAs can start at $50,000 and range up to $5 million. A few are being repackaged into retail versions being...

  • Investing in the American Dream

    Staff Writer

    My uncle, a dyed-in-the-wool apartment-renting Brooklynite, was arguing with my parents, suggesting they were fools for having bought a house and paying all that money...

  • About The Manager

    Staff Writer

    As John Connor describes it, there have been two basic tracks in his life that led to his current gig running the Third Millennium Russia...

  • Sample Partner Policy Statement

    Staff Writer

    Partner Policy Statement The selection of new partners is critical to achieving the Firm's succession goals and sustaining professional pride and job satisfaction. The goal for...

  • Going Hybrid, Gaining Flexibility

    Staff Writer

    Flexible hybrid funds are a special class of balanced funds that have the leeway to invest in a range of securities, including commodities, real estate,...

  • Brad Wasserman

    Staff Writer

    WHLS Financial Advisors, LLC 25505 W. 12 Mile Road, Suite 4200 Southfield, Michigan 48034-8340 Phone: 248-352-8040, ext. 133 Fax: 248-352-4490 Web address: www.whls.com E-mail: bwasserman@whls.com Year practice began: CPA firm in 1970,...

  • Looking back

    Staff Writer

    Investment Advisor has published an annual planning technology directory since 1997. Below are some excerpts from an article kicking off our tech directory in April...

  • Together but Separate

    Staff Writer

    In its most unromantic sense, a legal marriage is the creation of an economic unit, and there are over 1,100 federal rights and responsibilities that...

  • More Notes from the Gen Wars

    Staff Writer

    "The Great Divide" (February 2005) made strong assertions about the current state of financial planning. I am a 22-year-old newly-minted fee-only financial planner and while...

  • SEC Gearing Up for New Rules

    Melanie Waddell

    Get ready. The Securities and Exchange Commission is expected to issue a new rule this year on soft dollars as well as amendments to Form...

  • All Hail the Overlay Manager

    Staff Writer

    Unified Managed Accounts (UMAs) give advisors the flexibility to choose their own asset allocation and preferred products while delivering enhanced levels of customization. But the...

  • Hand in Hand

    James J. Green

    If investment advisors are the quarterbacks of their clients' financial planning squad, accountants are often important skill players on that team, performing essential duties that...

  • Special People

    Staff Writer

    In recent years, as more developmentally disabled individuals have been deinstitutionalized and become active residents in local communities, estate planning for parents of these individuals...

  • I'm OK, You're Sorta OK

    Staff Writer

    Few assets are more important to a financial advisor than personal integrity. Your clients expect you to give them advice straight from the shoulder. But sometimes...

  • Partner Track

    Mark Tibergien

    Some years ago, I was working with an advisor who had reached a crossroads: Should he keep the practice small, and under his complete control,...

  • In the Pipeline

    Staff Writer

    For advisors, one of the most ballyhooed promises of the dot-com era has failed to materialize--account aggregation has not made significant headway. If you remember...

  • Making It Your Own

    James J. Green

    Chris Kiley and Mike Huett stood in the front of the meeting room, taking their medicine as several dozen advisors demanded answers to a raft...

  • Russian Roulette

    Bob Keane

    Russia is a vast and complicated land. It's where Europe and Asia meet, but it's also a symbolic nexus of old and new, of communism...

  • Bountiful Harvest

    Eric Uhlfelder

    For some advisors, the stock market's two-year winning streak has revived confidence in equities. But any such complacency may be misplaced, and while bonds have...

  • The Dale Brown Gambit

    Bob Clark, Bob Clark

    Independent broker/dealers have always posed a conundrum for me. In my past life as editor of this magazine, I've given many awards for excellence to...

  • All Wrapped Up

    Staff Writer

    As a broker at the largest wirehouse on Wall Street, life was fairly easy. My only stress and my single focus was to make enough...

  • Behind the Numbers, with Stuart schweitzer

    Staff Writer

    JPMorgan Asset Management's global markets strategist explains his allocations simply. "We remain of the view that stocks will outperform bonds and cash," he says, adding...

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