Investment Advisor-April 2007

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  • Asset Allocation, April 2007

    Staff Writer

    To learn this month's recommended asset allocations of Investment Advisor's panel of distinguished economists and money managers, click here.

  • Invitation to the Conversation

    Staff Writer

    This is just the beginning in Investment Advisor's initiative to understand the Middle-Class Millionaire and how advisors are responding to them. As part of our...

  • CFP Standards Revision

    Bob Keane

    It's amazing what a few months of calm and careful deliberation and a willingness to listen to the opinions of others can accomplish. After unleashing...

  • Upgrades-April 2007

    Staff Writer

    ...First introduced in January, Fidelity Investments' new referral service, Wealth Advisor Solutions, will match high-net-worth investors with select RIAs who are Fidelity custody clients. Matches...

  • Changes-April 2007

    Staff Writer

    New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO for its Life and Annuity Operations, the company's largest revenue...

  • My Two (or More) Sons

    Staff Writer

    Good fathers strive to be fair in how they treat different sons, even though each child clearly has his own temperament and money personality. In...

  • What if the Horse Has Left the Barn?

    Thomas D. Giachetti

    It is ideal to have a new employee sign a restrictive covenant when he begins his employment. But what if you don't do so at...

  • Group Think-April 2007

    Staff Writer

    Christopher Cox, chairman of the Securities and Exchange Commission announced in mid-February that the agency would sharply cut the fees charged to public companies and...

  • An Area of Concern?

    Marlene Y. Satter

    We asked Bruce Temkin, a VP at Forrester Research, his thoughts on why Forrester's survey revealed such a high proportion (72%) of Gen X males...

  • Like Money In The Bank

    Staff Writer

    The financial services industry has recently come under some harsh and unwelcome glare in light of the ongoing collapse of the subprime mortgage lending sector....

  • Growth of the Affluent

    Staff Writer

    There are more millionaires than ever, and their numbers are growing. According to the Fed's Survey of Consumer Finances, households with a net worth of...

  • Crunch Time For Boomers

    Staff Writer

    In its most recent survey, AdvisorBenchmarking found that as wealthy clients transition into retirement and begin to transfer wealth to their heirs, retaining boomer assets...

  • Stepfathers and Sons

    Staff Writer

    These days, the "father" role in many households is filled by a stepfather. It's hard to generalize about the influence of these men on their...

  • NEWS & PRODUCTS APRIL 2007

    James J. Green

    The Fidelity Research Institute reported March 12 that Americans are slightly better prepared for retirement, but noted that their expectations for income in retirement remain...

  • Retirement Planning Balancing Act

    James J. Green

    Being an advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance, says David Tyrie of Putnam Investments. "It's not...

  • Keep Them Satisfied

    Marlene Y. Satter

    You know that clients' feelings about money can have a dramatic effect on the financial plans you craft so carefully for them. Their attitudes on...

  • Wealth Is The Name of the Game

    Staff Writer

    I always enjoy Bob Clark's articles and found "The Name Game" (Clark at Large, November 2006) interesting. I do have another take on the matter,...

  • Commonalities

    James J. Green

    I've just finished a task that lasted 12 months, required minimum hour-long discussions with a dozen sources, and entailed transcriptions that took me more than...

  • Perqs Lead to Penalties

    Kara P. Stapleton

    About 600 charities and foundations have had to file amended tax forms due to an IRS study that found flaws in the way the organizations...

  • Don't Forget Diversification

    Staff Writer

    When considering commodities, don't neglect their diversification benefits, which historical research has amply demonstrated, says Hilary Till, principal of a proprietary trading firm in the...

  • Ready, Fire, Aim

    Mark Tibergien

    With the dramatic growth of the average financial advisory business over the past five years, practitioners are being forced to develop a new skill in...

  • Review Your Review

    Susan L. Hirshman

    By now, you probably have received the performance numbers for the first quarter and are in the midst of setting up your appointments for your...

  • An Underutilized Charitable Option

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    A provision in the Pension Protection Act (PPA) of 2006, which allows individuals over the age of 701?,,2 to make a one-time donation of up...

  • Plotting Your Course

    Mike Patton

    As I write these words, I'm filled with excitement. Excitement about the new journey I am taking--one that many of you have already traveled and...

  • Par Excellence

    Kate McBride

    While there are some 5,000 separately managed account products in the market, not all are "considered legitimate SMA management firms for managing an advisor's client...

  • Walkin' the Walk

    Bob Clark, Bob Clark

    You gotta respect a man who puts his money where is mouth is. Mark Hurley has received considerable publicity over the past ten years for...

  • Behind the Curtain

    Michael S. Fischer

    RIAs and their high-net-worth clients have dramatically increased the use of alternative investments in their portfolios in recent years, and are on track to continue...

  • First, Hold On to Your Clients

    Thomas D. Giachetti

    Because of the "greying" of the investment advisory industry, it is becoming increasingly more important for investment advisory firms to consider succession planning issues, whether...

  • Designated Advisor

    Kate McBride

    Can a new set of letters after an advisor's name transform her into a wealth manager? Maybe not the letters alone, but months of study...

  • The Wealth Boom

    Lewis Schiff

    Just as the baby boomers transformed nearly every aspect of the financial services business, the massive assets controlled by the fast-growing affluent middle-class, combined with...

  • Fortunate Son

    James J. Green

    When a fellow escapes New Jersey to spend February in the sunny Arizona desert just as the Northeast gets hit with not one but several...

  • Catching up with... Jeffrey Mortimer

    Kate McBride

    How can advisors justify why it makes sense--and cents--for investors to work with them? One concrete way to show clients how you add value can...

  • A Compliance Culture

    Kara P. Stapleton

    ReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...

  • The CFP Board's Giant Step Forward

    Staff Writer

    On march 9, the CFP Board of Standards released the Second Exposure Draft of proposed revisions to its Standards of Professional Conduct. As I've been...

  • Morningstar--S&P Deal

    Bob Keane

    Morningstar, Inc. and Standard and Poor's, a division of The McGraw-Hill Companies, announced March 16 the completion of a deal for Morningstar to acquire Standard...

  • NEWS & PRODUCTS APRIL 2007

    Kara P. Stapleton

    Utah's House of Representatives voted in March 167-7 to pass legislation that repeals a May 2006 Utah statute requiring B/Ds to inform the state's Division...

  • Watch LPL Grow

    James J. Green

    LPL Financial, the big independent broker/dealer, stamped its seal even more emphatically on the independent B/D universe, and ended speculation over the future of Pacific...

  • A President For Schwab

    James J. Green

    Charles Schwab Corp. annou-nced Feb. 21 that Walt Bettinger, a longtime Schwab executive, has been named president and COO of the company, effective immediately, raising...

  • Behind the Numbers, with Lincoln Anderson

    Kara P. Stapleton

    So far this year, LPL's chief investment officer, Lincoln Anderson, has not made any changes in his recommended asset allocation, keeping the highest percentage in...

  • Child Is Father to the Man

    Olivia Mellan

    Im gonna be like you, dad. You know I'm gonna be like you." I doubt if there are many parents who can listen to Harry Chapin...

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