Investment Advisor-April 2008

Issue Gallery ›

  • In a Nutshell

    Staff Writer

    We argue that a tactical asset allocation approach will save clients pain, and in some instances add alpha to those clients' portfolios as well. Our...

  • Overseas Acquisition

    Staff Writer

    Focus Financial Partners has agreed to acquire Manchester, England-based Greystone Financial Services Ltd., making the U.K. wealth management firm the 15th "partner firm" in the...

  • Transforming the Dependency Ratio

    Kara P. Stapleton

    The nation's elderly population will more than double in size from 2005 through 2050, as the baby boomer generation enters the traditional retirement years, according...

  • Deep Bench

    James J. Green

    "I only have one rule about wealth managers," Mark Tibergien likes to quip, "they must have wealthy clients." If the current managing director of Pershing...

  • Mirror, Mirror

    Staff Writer

    When Lewis Schiff presented the preliminary findings from his research at the Investment Advisor/Moss Adams Advisor Summit in November 2007, there was an immediate reaction...

  • Catching up with...Patricia Cox

    Staff Writer

    Patricia Cox was named chief operating officer of Schwab Institutional in February, assuming a post last held by the current CEO of SI, Charles Goldman....

  • When Segregation Is Good

    Staff Writer

    Assumptions Value of Building $3,000,000 Tax Bracket 35% Discount Rate 5.00% A B No Cost...

  • SEC: "We hear you"

    Kate McBride

    The Securities and Exchange Commission has proposed an amendment to Part 248 Reg S-P: Privacy of Consumer Information and Safeguarding Personal Information, that may make...

  • Positioning for the Great Wealth Transfer

    Elizabeth D. Festa

    With trillions of dollars in liquid assets coming out of retirement accounts or transferred to the next generation in the coming years, many advisors are...

  • Retail Investors Aren't the Problem

    Staff Writer

    "People always say it's the retail investor who panics," says Walter Gerasimowicz, CEO of Meditron Asset Managment. "Perhaps. But as I look at what's going...

  • Seven Steps

    Staff Writer

    In forging a strong interdisciplinary advisory team there are a number of issues to face, including: Sharing Client Information: This is a big issue from one...

  • NEWS & PRODUCTS, APRIL 2008

    Staff Writer

    FINRA has settled cases against five firms for mutual fund sales and supervisory violations, imposing an $800,000 fine against Prudential Securities and a $750,000 fine...

  • 401(k) Participants Can Sue

    Melanie Waddell

    Will there be an onslaught of lawsuits now that the Supreme Court has ruled that participants in a 401(k) plan can sue to recover losses...

  • NEWS & PRODUCTS, APRIL 2008

    Staff Writer

    Despite the uncertain financial and economic environment last year, Americans continue to contribute to their IRAs, and those Americans who work with advisors are more...

  • Safe as Houses

    Marlene Y. Satter

    The subprime mortgage problem is not just for houses any more, as its repercussions permeate the overall economy. There are more difficulties to consider, however,...

  • Behind the Numbers, Gary Shilling

    Kara P. Stapleton

    "I think this is going to be a serious recession that consumes the rest of the year," notes Gary Shilling, president of A. Gary Shilling...

  • Asset Allocation, April 2008

    Staff Writer

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

  • Cost Segregation Audit Techniques Guide

    Staff Writer

    The IRS is trained to look at 13 principal elements of a cost segregation study. Space limitations don't allow for a discussion of this but...

  • Get Protected

    Staff Writer

    The estate and gift tax reduction benefits of a qualified personal residence trust (QPRT) are widely understood. But an often overlooked QPRT benefit is the...

  • Plain English, Please

    Staff Writer

    After much anticipation, on February 13 the SEC proposed amendments to Part 2 of Form ADV, which would require advisors to provide a plain-English narrative...

  • Innovate and Differentiate

    Staff Writer

    "Innovation drives profits," Steve Forbes told the attendees of the Raymond James Financial Services annual conference in mid-March, citing as one example the phenomenally popular...

  • Europe, Middle East, Australia

    Staff Writer

    Vanguard has had operations in different parts of the world for some time, but for the moment, China and India are not among those parts....

  • It's About Time

    Melanie Waddell

    Investment industry execs seem to agree that the SEC's proposed short-form mutual fund prospectus is long overdue. The novel-length, arcane prospectus that investors get now...

  • Expensive To Omit

    Staff Writer

    Errors and omissions insurance generally has been necessary because of issues more related to actual physical problems with homes--everything from mold and pollutants, septic problems,...

  • Speeding ETFs to Market

    Melanie Waddell

    The Sec is making it easier for exchange-traded funds (ETFs) to come to market. The Commission proposed in early March a rule that would allow...

  • How the Winners Were Chosen

    Staff Writer

    Prima Capital Director of Research Nathan Behan and his team of analysts--Pat Flynn and Rush Harvey, Large Cap; Matt Zimmer, Mid Cap and Fixed Income;...

  • About the manager

    Staff Writer

    In addition to managing the portfolio of $4.3 billion Fidelity Canada Fund, for U.S. investors, Fidelity Investments Portfolio Manager Maxime Lemieux also manages funds that...

  • Capital Control

    Kara P. Stapleton

    It's no secret that not all couples are alike. When it comes to raising families, running a household, or making a decision about what to...

  • Talking Technology

    Staff Writer

    Technology stocks were a good holding in 2007. Tech stocks in the S&P 500 index put up an average gain of 15.5% last year, versus...

  • Annuity Assistance

    Kara P. Stapleton

    In a world where instant gratification is the norm, tools like AnnuityQuickQuote.com could come in handy. The site, launched in September 2007, provides immediate annuity...

  • Taking the Helm

    Melanie Waddell

    On March 1, William McNabb became president and director of Vanguard, succeeding John Brennan. Within a year, McNabb, 50, will also take the CEO reins...

  • The Long and Short of Business Life

    Mark Tibergien

    In Aristotle's treatise titled "On Longevity and Shortness of Life," he observed "it is not clear whether it is a single or diverse cause that...

  • Out of the Lab

    Bob Keane

    In talking about the advisory profession, and even the more rarefied wealth management dodge, industry pundits and other gadflys often make the point that it's...

  • Polarized Images

    Olivia Mellan

    The other day I happened to glance at a comic strip in the Washington Post called "Brewster Rockit: Space Guy!" by Tim Richard. Illustrated with...

  • Up the Down Staircase

    Staff Writer

    These days, it's difficult to turn on the television, read the newspaper, or surf the Net without encountering doom-and-gloom stories about the current real estate...

  • Like Client, Like Advisor

    Lewis Schiff

    New research on the habits of Americans who espouse typical middle-class values but have assets of more than $1 million show these people have a...

  • 12b-1 Headed for an Overhaul

    Melanie Waddell

    Eight months after holding a roundtable discussion on its Rule 12b-1, the SEC is planning a "complete overhaul" of the rule, according to SEC Chairman...

  • FINRA and SEC Look to Build Bridges

    Elizabeth D. Festa

    Keeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...

  • At the Summit

    Kate McBride

    Given the uncertainty across the investment and economic universe over the past year, it is no small feat for separately managed account (SMA) portfolio managers...

  • Wedge Issue

    Mike Patton

    Many taxpayers and even their advisors may be unaware that recent tax code changes now provide for an accelerated depreciation deduction beyond that which is...

  • E Pluribus Unum

    Staff Writer

    As financial advisors, we deal with a broad range of issues with our clients, many of which go way beyond money. Because of the nature...

  • No More Mr. Nice Guy

    Bob Clark, Bob Clark

    For me, one of the most gratifying benefits of having been around the financial advisory industry for a long time is when old friends do...

  • Protection Money

    Staff Writer

    I'm regularly surprised by how few asset managers have an investment strategy that can accommodate declining equity prices. Retaining equity positions in "good companies" through...

  • Opportunity Knocks

    Angie Herbers

    As we're all painfully aware, it looks like the four-and-a-half year Bush bull market came to a dramatic and abrupt end in the final quarter...

  • Northern Exposure

    Kate McBride

    Advisors have long known about globalization and how much faster many other countries--especially emerging markets like China, India, Russia, and Brazil--have been growing than the...

  • Upgrades

    Staff Writer

    Assets in the industry's first mutual fund providing managed futures exposure are approaching the half-billion mark. The year-old Rydex Managed Futures Strategy Fund has attracted...

  • Getting Comfortable With Change

    Staff Writer

    As an active proponent of investment policy statements, I have frequent opportunities to speak with advisors about the how and why of using this tool...

  • Hostility's Roots in Fear

    Staff Writer

    The key to restoring balance and tolerance, says Betsy Hostetler, Ph.D., is to calm people's fears. Dr. Hostetler, director of human resource development at the...

  • New COO for PAS

    James J. Green

    "We conducted a nationwide search," for the job of chief operating officer for Pershing Advisor Solutions (PAS), says Mark Tibergien, and found the top candidate...

  • About the Advisor

    Staff Writer

    Dr. Walter V. Gerasimowicz Chairman and CEO Meditron Asset Management, LLC 641 Lexington Avenue, Suite 1400 New York, NY 10022 Phone: 212-622-7822 Fax: 212-622-7823 E-mail: wgerasim@meditronassetmanagement.com Web site: www.meditronassetmanagement.com Additional offices: Zurich, Switzerland, and...

  • Changes

    Staff Writer

    New York Life Insurance Company named Ted Mathas as CEO-elect. He retains his title as president and will succeed CEO Sy Sternberg when he retires...

  • Getting a Handle on 408(b)(2)

    Melanie Waddell

    The Department of Labor's (DOL) newly proposed 408(b)(2) regulation, which mandates disclosures of compensation and conflicts of interest by plan service providers will, when finalized,...

  • As We Went to Press . . .

    Staff Writer

    On February 13, 2008, President Bush signed into law the "Economic Stimulus Act of 2008," which interests us because it provides an incentive to small...

  • In the Running

    Staff Writer

    There were just six SMA Awards given, but there were more than six worthy candidates. Here are this year's semifinalists: Large-Cap--C.S. McKee, LP--Domestic Value Equity Wedgewood Partners,...

  • The Writer Couldn't Be More Wrong

    Staff Writer

    I confess to being appalled by January's "Soapbox" recommending performance-based compensation for investment advisors. The author, Dave Pike, could not have gotten it more wrong....

  • Group Think

    Staff Writer

    The American College selected Carroll Walker as this year's recipient of the Samuel H. Weese Award, an honor given to individuals "in recognition of that...

  • Bond Platforms Merging

    Melanie Waddell

    The two leading corporate bond platforms are about to merge. Incapital has entered into a definitive agreement with Bank of America to acquire its LaSalle...

  • Spend Like There Is a Tomorrow

    Susan L. Hirshman

    As I write this article, I am having an outer body experience. I can swear I am in the midst of a Seinfeld episode. But...

ThinkAdvisor Newsletters

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2019 ALM Media Properties, LLC. All Rights Reserved.