Investment Advisor-August 2005

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  • Fill 'er Up

    Melanie Waddell

    The 529 college savings plan market is booming--particularly among plans sold through advisors. At the end of 2004, 82% of 529 sales came from advisor-sold...

  • Just Do It

    Staff Writer

    Remember the predictions about how the growing use of computers and machine-readable text would reduce the amount of paper we would use in business and...

  • FLP Guidelines

    Staff Writer

    Document a legitimate business and non-tax purpose for creating the partnership. Reducing estate taxes and facilitating gift giving should be ancillary to the partnership's primary...

  • Who're You Calling Radical?

    Staff Writer

    Bob Clark seems to be about 10 to 15 years behind the times when it comes to understanding NAPFA, the nation's leading association of Fee-Only...

  • Train the Young, Build an Industry

    Staff Writer

    Recently I've been reading and hearing a lot about career paths and career development for the financial planning profession. Financial planning has now reached adolescence...

  • How Not to Work With the Media

    Staff Writer

    Financial advisors are often their own worst enemies when it comes to fostering long-term, mutually beneficial relationships with the media. Here are their biggest mistakes: 1....

  • When Examination Day Arrives . . .

    Staff Writer

    When going through a regulatory examination, RIAs should be prepared to take these steps before, during, and after the process: Conduct an entrance interview...

  • About The Manager

    Staff Writer

    Michael Conelius manages about $650 million in emerging markets debt, including $347 million as portfolio manager for the T. Rowe Price Emerging Markets Bond Fund,...

  • Ricky Grunden

    Staff Writer

    President and CEO Grunden Financial Advisory 2516 Lillian Miller Parkway Suite 110 Denton, Texas 76210 940-591-9007 www.grunden.com rgrunden@grunden.com Year practice began: 2001 Number of advisors in firm: 2 Number of clients: 90 Compensation method: Fee-only Fee for...

  • Small-Cap Growth Still Packing a Punch

    Staff Writer

    Lately it seems that investors are anxiously awaiting a shift from small-cap stocks to the larger caps, and from value stocks to growth. Growth investing,...

  • Behind the Numbers, with Gail Dudack

    Staff Writer

    In a written report issued in mid-july, SunGard's chief investment strategist noted that the signs have been pointing to a bullish trend for months. "But...

  • Institutions Are Still Committed

    Staff Writer

    Two recent surveys provide insights into the current state of hedge funds and their longer-term performance. In the first, an annual investor survey by Deutsche Bank's...

  • Looking back

    Staff Writer

    Some things never change, and for advisors one of them is that referrals are among the best ways to draw new clients. In the July...

  • Serving Mid-Tier Millionaires

    Melanie Waddell

    There's a growing segment of the wealthy that is ripe for the picking. This group is classified as the "mid-tier millionaires" because they have from...

  • Blindsided

    Olivia Mellan

    Though you may try to work calmly and rationally with clients, sometimes events occur that send them reeling. Overwhelmed and often panicked, these clients bring...

  • Plan of the Century

    Bob Keane

    For Ricky Grunden, the essence of being a financial advisor is not investment strategy and wealth accumulation, although those are important. He sees his role...

  • Independence Day

    Mark Tibergien

    Most people in the financial advisory business see it as parallel universes. In one there is the self-employed advisor who is either operating as an...

  • Discovering Emerging Yield

    Kate McBride

    When you think of emerging markets, a conservative approach may sound like a paradox, but it's one way to describe the $347 million T. Rowe...

  • Why NAPFA Matters

    Bob Clark, Bob Clark

    As a rule, I don't respond in print to responses to my columns. I had my say, and anyone who takes exception to that (I...

  • Come Right In

    Thomas D. Giachetti

    With the advent of SEC rule 206(4)-7 requiring SEC registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business,...

  • The FLP: Dead or Alive?

    Staff Writer

    The family limited partnership (FLP) is a popular method for shifting wealth from one generation to another. Because of its misuse, however, the IRS has...

  • The Gurus Speak

    Staff Writer

    What's the biggest challenge for independent financial advisors? Is it staying compliant, finding and motivating employees, smartly using technology, or transitioning a practice? While all...

  • The Capitol Solution

    Melanie Waddell

    The Congressman who will be most influential in fixing Social Security and tax reform is now on a crusade to remedy all of the nation's...

  • The Benefits of Auto Enrollment

    Staff Writer

    As members of Congress introduce legislation supporting the adoption of automatic enrollment among companies' 401(k) plans, a new study by the Investment Company Institute (ICI)...

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