Investment Advisor-August 2007

Issue Gallery ›

  • Marketing True Confessions

    Staff Writer

    Rich Coppa and Darin Gartland, his partner at Wealth Health in Roseland, New Jersey, have tried a number of marketing tactics since they launched their...

  • About the Manager

    Staff Writer

    When Ariel Capital Management Chairman and CEO John Rogers, Jr., founded the firm in 1983 it was the first African-American owned money management company in...

  • Upgrades

    Staff Writer

    The Bank of New York and Mellon Financial have completed their merger, creating The Bank of New York Mellon Corporation. The new firm will have...

  • Just Good Policy

    Staff Writer

    Nancy Callahan, VP of AIG's Identity Theft and Fraud Division, says that coverage under the AIG Corporate Identity Protection policy is just what advisors need...

  • Changes

    Staff Writer

    Morningstar, Inc. announced that Kunal Kapoor, has been named president of Morningstar Investment Services, Inc., the wholly owned investment management subsidiary of Morningstar. Kapoor, who...

  • Behind the Numbers, with Mark Keller

    Kara P. Stapleton

    "We expect stocks will continue to work higher through the rest of the year, with a continuation of the choppiness that usually accompanies tight Fed...

  • Inside Job

    Marlene Y. Satter

    Sure, You safeguard your clients' data. But what if an employee decides to make off with your files? The possibility hit the news back in March...

  • News and Products

    Kara P. Stapleton

    NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization formed by the consolidation of NASD and NYSE Member Regulation will be called...

  • The IRS Is Getting Tougher

    Staff Writer

    Acting IRS Commissioner Kevin Brown told Tax Talk Today viewers that the IRS has made significant progress in recent years in terms of enforcement: Overall revenues...

  • The Tax Advantage

    Staff Writer

    In 2003, the federal tax rate on qualifying dividends from U.S. companies, international companies that trade on the U.S. market, and international companies domiciled in...

  • Defining a Buy-Sell

    Staff Writer

    What exactly is a shareholders' buy-sell agreement? Stuart Mickelberg provides this succinct answer: A shareholder agreement, or buy-sell agreement, is a legally binding contract between shareholders...

  • Statement Doesn't Carry Water

    Staff Writer

    In "The Carry Trade," (HedgeWorld, June 2007) you quote Erik Postniecks stating that "Ninety percent of all retail investors lose money in futures markets." I assure...

  • Not Just Little Guys Fail at Marketing

    Staff Writer

    "A lot of advisors don't track where their new clients come from," Dave Welling, Schwab Institutional's VP of marketing and advisor business management, says incredulously. Welling...

  • Get Over It

    James J. Green

    ach of us would like to be appreciated for who we are, but also recognized as being worthy of appreciation. Maybe I'm just projecting here,...

  • Hidden Money

    Staff Writer

    The typical way an advisor helps clients save for their kids' college education involves a savings vehicle like 529 plans. Here are some lesser-known ways...

  • Coming Home to Roost

    Kate McBride

    Problems in the subprime fixed-income market played perhaps a larger-than-expected role in presentations and discussions among the experts at Morningstar's annual Investment Conference, this year...

  • Asset Allocation, July 2007

    Staff Writer

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

  • A Place for Everyone

    Staff Writer

    In assessing the value of all your employees, you certainly want to identify those who are willing to go the extra mile and to encourage...

  • Small-Cap Value Still Chugging Along

    Staff Writer

    While small-cap stocks have generally underperformed large-caps in recent years, small-cap value has kept pace with its larger-cap value peers. The average small-cap value portfolio...

  • The Far Reach of Subprime Woes

    Jeff Joseph

    Leveraged loans to companies are likely to be adversely affected by hedge fund losses from collateralized debt obligations (CDOs). This indirect effect of the subprime...

  • A Case for VAs?

    Kara P. Stapleton

    It's no secret that securing retirement income for life is a top financial goal for boomers. Now, new research sponsored by AIG SunAmerica and conducted...

  • The Tax-Free Investing Opportunity

    Staff Writer

    How many of your clients could benefit from tax-free investing? Since we're talking about a one-time only Roth IRA opportunity, the answer depends on several client-specific...

  • Paying for the Buyout

    Staff Writer

    how can a firm or remaining owners afford to buy out an exiting owner of a deceased owner's estate? Stuart Mickelberg replies: In the event of...

  • Closing the Gap

    Staff Writer

    The primary goal of the Internal Revenue Service is to collect the taxes that are owed to the federal government under current tax law. Reducing...

  • Are We Having Fun Yet?

    Olivia Mellan

    Ah, summer vacation. Many of us try to refresh ourselves with a week or more of travel, relaxation, or fun at this time of year....

  • Buyer's Remorse

    Susan L. Hirshman

    As the summer begins to wane, many people yearn for that feeling of tranquility and bliss they felt while vacationing at the beach or in...

  • Prevailing Winds

    Mark Tibergien

    "Culture eats strategy for breakfast." I've pondered this line, attributed by a Stanford professor to a sign in the Ford Motor Company board room, as...

  • The Income Barista

    Ken Ziesenheim

    As many advisors know, the biggest challenge facing millions of retiring baby boomers is income (or lack of) as they necessarily begin to rely on...

  • Dream Teams

    Angie Herbers

    Growth, Growth, and more growth. These days the financial advisory community is obsessed with growth. Broker/dealers and custodians are ever less subtle about pushing their...

  • Speaking Out

    Bob Keane

    There's an idea prevalent among investment advisors, especially those using a fee-only business model, that marketing is a dirty word. They like to brag about...

  • Will 12b-1 Fees Survive?

    Melanie Waddell

    Will the securities and Exchange Commission repeal 12b-1 fees? It depends on whom you ask, but SEC staff will recommend changes that Chairman Christopher Cox...

  • Experience and Flexibility

    Kate McBride

    Experience: accept no substitute. In a world where the phantom valuations and effervescent ratings of mortgage-backed securities seem to be overshadowing all of the markets,...

  • Internal Medicine

    Thomas D. Giachetti

    In my last columns (April and May 2007), we addressed the importance of restrictive covenants that protect an advisory firm's client relationships. But there's a broader...

  • Subprime

    Kate McBride

    As the implosion of subprime mortgages and junk bonds causes uncertainty throughout the markets, advisors and broker/dealer executives may want to think about what's in...

  • Group Think

    Staff Writer

    The Financial Planning Association named E. Denby Brandon as the recipient of the 2007 P. Kemp Fain Jr. Award, which recognizes an FPA member who...

  • Head South, Investors!

    Kara P. Stapleton

    Investing in emerging markets has paid off handsomely over the last few years. According to a new Standard & Poor's survey of fund managers, professional...

  • Working Through Retirement

    Kara P. Stapleton

    Are your clients putting away enough money for retirement or will they be working at the age of 70 to cover healthcare costs? According to...

  • Treasury Calls for Regulatory Overhaul

    Melanie Waddell

    Secretary of the Treasury Henry Paulson is on a mission to reform the U.S. financial services regulatory structure to enhance the nation's global competitiveness. He announced...

  • News and Products

    Staff Writer

    New research by Cerulli Associates has found that the 403(b) market is just as profitable, if not more so, as other defined contribution businesses. Of...

  • Genius, Pure Genius

    Bob Clark, Bob Clark

    Remember the scene near the beginning of the play and film "Amadeus," where the great Antonio Salieri, court composer to Emperor Joseph II of the...

  • Insuring a Secure Retirement

    Melanie Waddell

    A retirement planning strategy that was popular in the 1980s but fell out of favor is being revived: using life insurance to create personal, defined...

  • A Victim of Success?

    Maya Ivanova

    The key to growing any business often lies in how the company's products and services are marketed. A sound marketing plan is the growth engine...

  • Keeping It in the Family

    Lewis Schiff

    If you don't have your own network to address the concerns of your advanced planning clients, you may want to bring in a private wealth...

  • Tassel Hassle

    Kara P. Stapleton

    A hot-button issue this time of year that brings clients to advisors is funding their child's college education. "The reason is just plain, old cost,"...

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