Investment Advisor-August 2010

Issue Gallery ›

  • Overlooked Managers: First Things First

    Savita Iyer-Ahrestani

    lbert Meyer, president and manager of the $8.9 million Mirzam Capital Appreciation Fund (MCAF; ticker: MIRZX), understands stock options and why companies give them to...

  • Morningstar to Rate 529 Plans

    Marlene Y. Satter

    Morningstar, which has researched 529 plans for years, is now adding a qualitative rating system for the plans, and quantitative ratings on 529 options within...

  • The Final Word: The Near Occasions of Sin

    James J. Green

    "You tell me how people get paid, and I'll tell you how people will behave." The speaker was Bob Reynolds, who has reinvented Putnam Investments...

  • Retirement Planning: News and Products

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    An academic study published by the University of Michigan Retirement Research Center showed that higher-income wage earners over age 50 are contributing much more to...

  • A Retirement Plan Solution

    Marlene Y. Satter

    Brian Pon of Financial Connections Group, Inc., in Corte Madera, California, has a suggestion particularly for parents who will be around 59 years old while...

  • The ETF Advisor: ETFs Enroll in 529 Plans

    Vaughan Scully

    After saving for retirement, saving for college is probably the most daunting financial challenge families face. So the creation of tax exempt 529 accounts in...

  • Editor's Note: Eating Our Own

    John Sullivan

    The Dodd-Frank Wall Street Reform and Consumer Protection Act, and its 533 new rules, is now law (in contrast, Sarbanes-Oxley had 16). The firm of...

  • Eleanor Blayney

    Olivia Mellan

    The fourth of four girls, Eleanor grew up in a "very traditional" family with a prosperous lifestyle. After graduating from Mount Holyoke, the nation's first...

  • Peg Downey

    Olivia Mellan

    One of four girls in a low-income family, Peg had her future changed by her eighth-grade math teacher. "She asked who would go to college,...

  • The Section 79 Solution

    Marlene Y. Satter

    Robert Cheney of Westridge Wealth Strategies in Portola Valley, California, who can count many physicians and dentists as clients, has a college-savings strategy appropriate for...

  • The FINRA Blotter

    Marlene Y. Satter

    The law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA in 2009. By reviewing...

  • Spend Wisely and Lower Your Expectations

    Marlene Y. Satter

    Fred Amrein of Amrein Financial in Wynnewood, Pennsylvania, is one of the advocates for wise spending. "One of the things that makes us really different,"...

  • Catching Up With Jeffrey Gundlach

    Kate McBride

    Jeffrey Gundlach, founder of DoubleLine Capital and former CIO of Trust Company of the West, gave the keynote address at the Morningstar Investor Conference on...

  • Broker/Dealer Briefing News and Products

    Melanie Waddell

    Dale Brown, CEO of the Financial Services Institute (FSI), testified on June 17 before the U.S. Senate Committee on Health, Education, Labor, and Pensions (HELP),...

  • Where Direction$ Is Headed

    Olivia Mellan

    Trailblazers Peg Downey, Eleanor Blayney, and Elizabeth Jetton want to change the atmosphere and conversation to "get women into the room" for financial planning. Through...

  • Advice to the SEC

    Melanie Waddell

    When it comes to the fiduciary standard, and the six-month study that the SEC will conduct to determine whether brokers should be held to such...

  • A Principled, Recognized and Quoted Crusader

    Savita Iyer-Ahrestani

    Albert Meyer, manager of the Mirzam Capital Appreciation Fund (MCAF), is well aware of the responsibility that comes from managing other people's money. His career-long...

  • Wise Words at Morningstar

    James J. Green

    For investment advisors, the annual Morningstar Investment Conference experience is like the proverbial kid in the candy store. Held for the 22nd year in Chicago...

  • College Savings: Do Your Homework

    Marlene Y. Satter

    David Blain of D. L. Blain & Co., LLC in New Bern, North Carolina, recounts a new client couple who came to him already buried...

  • Broker/Dealer Marketing: Finding Their Voice

    Melanie Waddell

    Now that the markets and economy are showing signs of recovery, albeit haphazardly, independent broker/dealers are offering various new tools to help their representatives start...

  • Clark At Large: Can't Beat 'Em? Then Stall 'Em

    Bob Clark, Bob Clark

    By the time you read this, the Dodd-Frank financial services reform bill--The Wall Street Reform and Consumer Protection Act of 2010--will have been approved...

  • Insurance Update: Insurance Coverage Goes Green

    Marlene Y. Satter

    The company that started providing businesses, and later private individuals, with green insurance has added more arrows to its quiver of green products. Fireman's Fund has...

  • The Fast Track: Affairs of the Heart

    Angie Herbers

    I have a girlfriend who lost her job for having an emotional affair. Here's what happened: She was the vice president of marketing for a...

  • Asset Allocation

    John Sullivan

    Behind the Numbers with Jeffrey Kleintop "We expect the economy and markets will stay on the course for growth in 2010," according to LPL Financial's mid-year...

  • Retirement Planning: Serving Gen Y Now

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Advisors have always viewed the transfer of wealth--in particular high-net-worth wealth--as a legacy issue, focusing on those older clients who will be the donors of...

  • Elizabeth Jetton

    Olivia Mellan

    Elizabeth calls herself an "Episcopal Southern gal from Memphis, Tennessee," who grew up very middle class. Bored in college, she followed a spiritual bent by...

  • Typhoid Marys

    Mark Tibergien

    When one of your employees begins to entertain offers from other firms, a dangerous precedent can be created. Left unchecked, disenchanted people can become carriers...

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