Investment Advisor-August 2008

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  • Changes

    Staff Writer

    AIG Advisor Group announced that Mark Schlafly was named president and CEO of FSC Securities and Advantage Capital Corp., reporting to Larry Roth, president and...

  • The Pros Speak: Using New Media to Tell Your Story

    Staff Writer

    To get your story out in an increasingly fragmented media environment, you can't abandon traditional communication strategies, but you should supplement traditional marketing approaches with...

  • Asset Allocation, August 2008

    Staff Writer

    Read this month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers here.

  • Group Think

    Staff Writer

    The Centre for Fiduciary Excellence enhanced its investment advisor certification program so that CEFEX-certified firms in the U.S. will receive a copy of a legal...

  • Like Elder, Like Adult Child

    Kara P. Stapleton

    "Baby boomers are failing to follow the tried-and-true retirement planning disciplines that enabled their parents to achieve a satisfying retirement," says Generational Differences in Retirement...

  • Ups & Downs of ETFs

    Kara P. Stapleton

    State Street Global Advisors and Knowledge@Wharton, the online business journal of The Wharton School, released the results of a joint survey of investment professionals exploring...

  • Luck and the Chinese

    Staff Writer

    Two huge casinos in Connecticut--Foxwoods and Mohegan Sun--send more than 100 buses every day to pick up customers in predominantly Asian neighborhoods of Boston and...

  • Listening to clients from other cultures

    Staff Writer

    "Listening to clients and asking questions about their goals can help you uncover differences within our culture as well as across cultures," says John Comer...

  • 529 Boot Camp

    Staff Writer

    SavingForCollege.com's sixth annual 529 conference will take place September 24-26 at the Mandalay Bay resort in Las Vegas. "The first day is our boot camp,"...

  • Staying Flexible

    Staff Writer

    One way that inflexible trusts hamper beneficiaries is when children and grandchildren move to other states. If the trust were drafted in New York without...

  • Behind the Numbers

    Kara P. Stapleton

    Some slowing of consumer spending may actually be a positive sign according to Stuart Schweitzer, global market strategist with JPMorgan Private Bank. In a June...

  • Designated Planner

    Staff Writer

    Founded in 2002, the Certified College Planning Specialist (CCPS) designation is a program with an intense focus on college financial planning. All advisors interested in...

  • Driving Green on Regular Gas

    Staff Writer

    We can't all be driving electric, hybrid, or biofuel-powered cars, yet, but there are things we can do to reduce the amount of energy that...

  • Do You Believe Your Own Rhetoric?

    Staff Writer

    Most of you can easily tell a variation of this story: an advisor meets with a client or prospect who is nearing retirement--independence day for...

  • Name Game

    Staff Writer

    One quibble I have had with the Moss Adams Studies is their practice of allowing each firm answering its survey to self-report the categories of...

  • B/D News & Products

    Staff Writer

    Pali Capital, Inc., the U.S. subsidiary of Pali Holdings, Inc., announced that Joseph Schenk has joined the firm as COO, reporting to Brad Reifler, chairman...

  • Retirement News and Products

    Staff Writer

    Following the funds flowing into target-date retirement funds, Charles Schwab Trust Company has expanded its offering of target date collective trust funds for retirement plans...

  • The Message You Send

    James J. Green

    "Anybody over the age of 60 is scared to death" over the coming Presidential election, said Keith Pinsoneault, whose firm, Optimum Investment Advisors, directly manages...

  • Number One Among the Competition

    Staff Writer

    The old Latin expression, "Nemo iudex in causa sua," aptly expresses the skepticism with which one must assess one's own reputation--"No one can judge in...

  • You've Got to Have Friends

    Staff Writer

    I read your recent article "With Friends Like These..." (Clark at Large, IA July) with interest. I am not sure what to think about the...

  • Boomers Need LTCI ASAP

    Kara P. Stapleton

    Boomers have a lot to think about when it comes to their futures: estate planning, retirement planning, funding their children's or grandkids' education. Another decision...

  • Upgrades

    Staff Writer

    Schwab Institutional has launched PortfolioServices, which SI's VP of technology, Dan Skiles, calls an outsourced version of Schwab Performance Technologies' PortfolioCenter PMS application. The Web-based...

  • Careful What You Wish For

    Marlene Y. Satter

    Last month we talked with Sandy Praeger, president of the National Association of Insurance Commissioners (NAIC) about changes suggested for the insurance industry within the...

  • Hop Off the Bus, Gus

    Angie Herbers

    By now, you're probably tired of hearing that financial advisors usually don't have any business management training. Of course, that doesn't mean advisors aren't highly...

  • Minority Affairs

    Olivia Mellan

    Leafing through a typical personal finance magazine, you'll often find tips on getting student loans for a college-bound child, advice on choosing an assisted living...

  • Not Slowing Down

    James J. Green

    As the biggest player in the independent broker/dealer space, LPL Financial would appear in the spotlight often enough for its sheer market share heft and...

  • Eternal Students

    Kara P. Stapleton

    In case you haven't noticed, back-to-school season is already upon us. Students entering their senior year of high school will be making last-minute visits to...

  • Standouts

    James J. Green

    When advisor Paul Sutherland is considering stocks for possible inclusion in his Utopia Funds portfolios, he evaluates the strength of the company's brand since, he...

  • Replacements Without a Clue

    Bob Clark, Bob Clark

    This past May, Moss Adams LLP dropped a widely reported bombshell on the independent advisory community by announcing that the Seattle accounting firm is phasing...

  • Time for an Alternative

    Melanie Waddell

    Despite the recent tumult in the hedge fund world with the collapse of Bear Stearns's two hedge funds and the subsequent arrest of its two...

  • Springtime for Brokers

    Elizabeth D. Festa

    Although the markets and the economy don't much appeal to practically anyone these days, it may be the perfect brew for breakaway brokers. Many are...

  • A Friendly Suggestion to Regulators

    Thomas D. Giachetti

    Please, regulators, stop with the "best practices" discussions as if they are rules. Please make clear the difference between a "best practice" and a rule...

  • The Three Troubling Themes

    Thomas D. Giachetti

    As I travel the country lecturing at investment industry conferences, conducting compliance reviews, attending enforcement proceedings, playing too little golf, and realizing that outliving one's...

  • Catching up with...Mitch Politzer

    James J. Green

    A survey commissioned by Ameritas Advisor Services and conducted by Spectrem Group this spring found that while advisors are justifiably concerned with providing income to...

  • Who Knows?

    Bob Keane

    Going green is in some ways like planning for retirement. In our heads, and in our hearts, we--including many of your clients, I'd wager---all agree...

  • Turn Kindness On

    Kara P. Stapleton

    On May 10, the Muscular Dystrophy Association hosted its 22nd Annual "A Night Under the Stars Black and White Ball" at the Beverly Hilton Hotel...

  • FPA Reminder: Practice Good "Citizenship"

    Staff Writer

    Laura Brook, director of international relations for the Financial Planning Association, points out that advisors should be sure to determine their clients' citizenship status. "Do...

  • A Golden Opportunity

    Staff Writer

    The price of gold has been rising steadily since 2001. In 2007 alone, the spot price of gold rose 31.7%. Prices of other precious metals...

  • Keep Your Focus

    Staff Writer

    If you're looking to articulate your message to attract the best kind of clients, consultant Susan Hirshman suggests you start with your current clients. You...

  • Wheels of Blueprint In Motion

    Melanie Waddell

    Setting in motion Treasury Secretary Henry Paulson's Blueprint for financial services reform, the Federal Reserve Board and the Securities and Exchange Commission (SEC) entered into...

  • Where to From Here?

    Mark Tibergien

    As advisory firms grow, so too does the need for more structure in how they do business. Yet for the entrepreneurs who created these enterprises,...

  • Consolidation Crunch

    Melanie Waddell

    There's a coming consolidation among consumers'--particularly boomers'--use of products and services that will force advisors to hone their skills if they expect to retain these...

  • Insuring 401(k) Success Via Annuities

    Elizabeth D. Festa

    Michael Salley is one of those ever-growing group of advisors who have become independent and taken their Wall Street knowledge to Main Street, bringing along...

  • A Prospect With a Plan

    Lewis Schiff

    Every advisor has heard some version of the phrase: "I've done my planning already." The implication is that once they've endured the financial planning process,...

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