Investment Advisor-August 2006

Issue Gallery ›

  • The Charitable Solution

    Staff Writer

    To lessen the effect of IRD, some clients may want to name a qualified tax-exempt charity as beneficiary of a retirement account. This approach may...

  • Health Care Funds Tired and Sluggish

    Staff Writer

    The health care sector encompasses a broad and diverse group of companies--from high-risk, fast-growth biotech stocks to solid, blue-chip drugmakers, long the darling of conservative...

  • First, Focus on the Client

    Staff Writer

    For the independent registered investment advisor, the view of the market is very different from that of the large wirehouse advisor. The key drivers for...

  • If I Were an Advisor . . .

    James J. Green

    Richard Weylman is an entrepreneur and consultant (www.richardweylman.com) who specializes in marketing and selling to the affluent. In a general session at the Pershing Insite...

  • About the Managers

    Staff Writer

    There are three managers of the Allianz NFJ Dividend Value Fund: Ben Fischer, CFA, is a founding partner, managing director, and portfolio manager of NFJ Investment...

  • Now's the Time for LTC

    Staff Writer

    Jeffrey Karelis, an advisor who is a partner in KSP Financial Consultants in Waltham, Massachusets, favors buying LTC insurance when clients are in their late...

  • Behind the Numbers

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Investing in international stocks and bonds has become par for the course among those seeking to get the best out of the markets for their...

  • Four Rules to Drive Home Your Message

    Staff Writer

    What distinguishes highly successful advisors from less successful ones, regardless of their skills and industry knowledge? The answer is their ability to communicate the true value...

  • UPGRADES

    Staff Writer

    The Fidelity Charitable Gift Fund announced in late June the Charitable Investment Advisor Program, which allows independent investment advisors to provide discretionary investment management to...

  • CHANGES

    Staff Writer

    There have been several comings and goings at the Securities and Exchange Commission. Kathleen Casey was confirmed by the Senate on June 15 to replace...

  • When Kids Choose to "Do Good"

    Staff Writer

    Many of today's young people want to make the world a better place. For some, this may take priority over finishing college, usually against their...

  • Staying Healthy Online

    Staff Writer

    It's not only how you do your job that creates efficiencies, it's also how you don't do your job. Olivia Mellan, a Washington-based psychotherapist and money...

  • ASSET ALLOCATION

    Staff Writer

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

  • Clear Goals

    Staff Writer

    Here are the goals and objectives for future regulation that the Task Force believes FPA should rely on in crafting meaningful standards for a profession: o...

  • Do You Know These Words?

    Staff Writer

    When negotiating a merger, acquisition, or sale of an advisory practice, it's important to understand the language, and the nuances, of the deal terms. Here...

  • Regulatory Limbo for Hedge Funds

    Staff Writer

    Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see...

  • Read the Rules

    Staff Writer

    I'll preface my comment with the caveat that I'm all in favor of the CFP Board incorporating the word "fiduciary" in its Code. Having said...

  • Is All Planning Local?

    Staff Writer

    On a recent vacation, I found that the investment advisory profession traveled along, though not always in the most obvious way. In a pub one...

  • Private Equity or Hedge Fund

    Staff Writer

    With all the hubbub surrounding hedge fund advisor registration, there's another trend in the hedge fund marketplace that's heating up, according to Jim Hedges of...

  • Staying On Track by Taking Time Off

    Staff Writer

    Maybe if you want to become super efficient at the office, you should get rid of it. Catherine Nomura, director of business development at The Strategic...

  • Communications Rules

    Staff Writer

    Top advisors communicate regularly and meaningfully with their top clients. Here are some suggested rules for making those communications effective, as found in "The Ubiquitous Paradigms...

  • Discipline, Dividends, Diversification

    Kate McBride

    Not so long ago, investing in stocks that paid dividends was decidedly uninteresting. Investors clamored for companies in which smart CEOs plowed cash back into...

  • Insurance Multitasking

    Marlene Y. Satter

    Long-term care insurance is frequently a hard sell, until people are older and often ineligible for coverage. Planners thus may be interested in a multifaceted...

  • Will the SEC Appeal?

    Melanie Waddell

    A question on everyone's mind these days is whether the Securities and Exchange Commission will appeal the recent federal appeals court ruling that overturned the...

  • Financial Kaizen

    Staff Writer

    Twenty-five years of Shotokan karate training has given Tom Hine an understanding that strength is best harvested through humility, that discipline is more than just...

  • That Good Old College Try

    Staff Writer

    As a bumper crop of teenagers makes its way through high school, many parents and grandparents are losing sleep over getting them into college. A...

  • Ibbotson on asset allocation

    Kate McBride

    When markets get volatile, investors get edgy. Some look at their portfolios and see assets that worked well before, but now look lackluster or may...

  • High Definition

    Melanie Waddell

    While it's been said time and time again that advisors have a long way to go before they can be dubbed stellar marketers, let's hold...

  • Back in the Saddle

    James J. Green

    This month, Peggy Cabaniss turns over the reins as the chairman of the National Association of Personal Financial Advisors (NAPFA) to Dick Bellmer. But before,...

  • IRDs and Retirement Accounts

    Staff Writer

    Your clients likely appreciate how you have helped them amass their nest egg. Feeling more secure, their focus may well shift to determining how to...

  • Get Help

    Mark Tibergien

    One of the ironies of the advisory business--an industry built on the wisdom of seeking professional advice--is the reluctance of many advisors to retain professional...

  • Unplug

    Geoff Kirbyson

    Nothing in today's workplace has the ability to simultaneously revolutionize and paralyze as electronic mail. Many of us are powerless to resist the urge to...

  • Tom Hine

    Staff Writer

    Managing Member Capital Wealth Management, LLC. 628 Hebron Ave, Building 2, Suite 304 Glastonbury, Connecticut 06033 Phone: 860-659-8200 information@capitalrm.com www.capitalrm.com Year firm started: 2001 Number of advisors in firm: 1 AUM: $120 million Compensation method:...

  • A Process, Not a Destination

    Thomas D. Giachetti

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

  • Campaign Literature

    Staff Writer

    At the time of our interview in early July, NAPFA, the fee-only group of planners of which Peggy Cabaniss has served for the past year...

  • Retirement Advisor Profile

    Elizabeth D. Festa

    Pete Winer is a man with a plan: he advocates the use of controversial equity-indexed annuities (EIAs) as part of a portfolio for retiree clients...

  • Still Hammering Away

    Melanie Waddell

    Members of Congress are still hashing through a compromise bill on pension reform, and completed, the final bill may also include a provision on abolishing...

  • A New Regulatory Framework?

    Kate McBride

    In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors...

  • GROUP THINK

    Staff Writer

    The Investment Company Institute's president, Paul Schott Stevens, applauded the SEC for the Commission's July 12 decision to issue guidance clarifying the use of soft...

  • News & Products

    Staff Writer

    Retirement Income Industry Association (RIIA) launched on June 26 a retirement income planning educational program for advisors called Delivering Retirement Income Solutions, which is designed...

  • Lessons From the Best

    Susan L. Hirshman

    In today's competitive environment, it is critical to benchmark yourself against the opposition. Is your behavior in line with some of the most successful practices?...

  • News & Products

    Staff Writer

    Genworth Financial is beefing up its asset management business: the company is buying AssetMark Investment Services, with $8 billion under management, to complement its Genworth...

  • Out of Focus

    Bob Clark, Bob Clark

    A couple of hundred years ago when I was an editor at Worth, like many consumer magazines we conducted a fair number of focus groups....

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