Investment Advisor-December 2007

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  • The Certification Advantage

    Staff Writer

    Many different designations have been designed to aid advisors in servicing elderly clients correctly. Here are three common designations recommended by advisors. Registered Financial Gerontologist (www.aifg.org) Introduced...

  • Upgrades

    Staff Writer

    LPL Financial Services has partnered with Fiduciary360 in a program under which LPL-affiliated advisors who wish to provide consulting services to retirement plan sponsors must...

  • Advisor in Action: Dean Harman

    Staff Writer

    The desire to give something back to the community or to improve the lot of humanity in some way is not uncommon among Dean Harman's...

  • IRS Eyes Insurance Securitization

    Melanie Waddell

    The IRS has begun to scrutinize life insurance securitizations. The law firm of Sidley Austin in New York reports in its latest newsletter that Diane...

  • NEWS & PRODUCTS, DECEMBER 2007

    Staff Writer

    There's an "excellent chance" that the Department of Labor (DOL) will finalize its three initiatives dealing with 401(k) fee disclosures before Congress can pass a...

  • The Wages of Sin

    Staff Writer

    For investors looking for mutual fund investments that reflect their social values there are hundreds of socially responsible investment (SRI) choices available, not to mention...

  • NEWS & PRODUCTS, DECEMBER 2007

    Staff Writer

    The Financial Industry Regulatory Authority (FINRA) fined Oppenheimer Co., Inc. $1 million for "submitting mutual fund breakpoint data to FINRA that the firm knew to...

  • Building Your Own Holy Grail

    Staff Writer

    In more than 15 years as a financial advisor, I have often acted as a "Personal CFO" for families. This means advising on virtually all...

  • Fighting the Good Fight on 401(k)s

    Elizabeth D. Festa

    David Loeper's MISSION is to keep 401(k) plan participants from getting ripped off. In his new book, Stop the 401(k) Rip Off, (Bridgeway Books, 2007),...

  • Changes

    Staff Writer

    The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners in Overland Park, Kansas, is the president-elect of the 29,000-member planners' association for...

  • 130/30 Market May Open Up

    Jeff Joseph

    Despite the growing popularity of 130/30 strategies, this market remains in its infancy and is likely to change in radical ways over the next few...

  • Reduced Rates for Older Buyers

    Marlene Y. Satter

    According to LIMRA international research released in 2006, the chief deterrent to buying a life insurance policy was cost. Even among the affluent, the research...

  • 90-24 Transfers, Then and Now

    Staff Writer

    Here's a rundown of what's allowable under 90-24 transfers under the new 403(b) regulations as explained by Jamie Ohl, VP for The Hartford's Retirement Plans...

  • Tech-Savvy Advisors

    Kara P. Stapleton

    The latest MKT report by Schwab Institutional, Technology Best Practices: Making the Most of Your Technology Investment, finds that the best-managed advisory firms have clear...

  • The Compensation Issue

    Staff Writer

    After speaking with multiple advisors and representatives from the major groups that certify advisors to work with the older population--The American College, the Society of...

  • Too Many Options

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    The defined contribution (DC) plan has become an increasingly important part of retirement planning in Europe, and experts believe it will continue to gain ground...

  • Catching up with... Adrian Nazari

    James J. Green

    The last time Adrian Nazari's name appeared here, it was January 2004, when we reported that LPL Financial was rolling out Nazari's MoneyFind liability management...

  • The Car Insurance Leading Indicator

    Staff Writer

    One sometimes overlooked indicator that a client may be suffering from diminished mental capacity has to do with car insurance, of all things. The Hartford...

  • Victims & Victors

    Kate McBride

    The fallout from the subprime meltdown has affected homeowners, bankers, and investors, and now has settled on some of the top corner offices of Wall...

  • It's a Small World After All

    Staff Writer

    Stocks in developed international markets look like a bargain these days, trading at a 13.1 times consensus estimates of 2008 earnings. By contrast, the S&P...

  • Advisor in Action: Mathew Chope

    Staff Writer

    Matthew Chope, a planner and partner with the Center for Financial Planning in Southfield, Michigan, is a guy who collected mutual fund prospectuses as a...

  • Not So Bad After All?

    Kara P. Stapleton

    As an advisor, you may have seen first hand that planning for retirement and deciding how to spend that money can spark disagreement between couples...

  • Behind the Numbers, with Lincoln Anderson

    James J. Green

    "a cranky contrarian" is how the chief economist for LPL Financial describes himself. His "mantra these days is 'worry about your winners,'" those asset classes...

  • A Taxing Dilemma

    Marlene Y. Satter

    As another year draws to a close and clients find themselves thinking of the future, perhaps one New Year's resolution will be to get around...

  • Add a Break-Up Quarterback

    Lewis Schiff

    In previous columns, we've examined how a variety of independent advisors--from solo practices to firms with offices in several cities--use outside specialists to provide the...

  • Business-Like Schwab Party

    James J. Green

    Throughout its 17 year history, the Schwab Impact gathering sponsored by Schwab Institutional has grown in size, ambition, and celebrity sightings. This year--the 20th anniversary...

  • Death to Tax

    Kate McBride

    Investment advisors appear to have dodged a bullet as the Financial Services Institute (FSI) and individual advisors rallied lawmakers to repeal a law that would...

  • Referrals Revisited

    Susan L. Hirshman

    "If there is one thing that I could do for you, what would it be?" When posing that question to seasoned advisors, the response I...

  • Use Them, but Carefully

    Thomas D. Giachetti

    In my previous column for Investment Advisor (November 2007), we addressed some of the "Confusion and Misinformation" that exists regarding the use of hedge clauses...

  • The Mourning After

    Olivia Mellan

    As the december holiday season approaches, we want and expect it to be a time of joy, warmth, and intimacy with family and friends. But...

  • Bottom Up

    Angie Herbers

    Last month, I gave a one-day practice-building workshop for ProEquities, Inc., concluding one of many business management conferences they offer their affiliated advisors each year....

  • A Matter of Principle

    Bob Keane

    Ask any group of advisors what first attracted them to the profession or where they find the greatest job satisfaction and the most common answer...

  • Give, Wisely

    Kate McBride

    No one need be extremely wealthy anymore to participate in charitable giving through donor advised funds (DAFs), but they can be, and some participants have...

  • Future Talk

    Bob Clark, Bob Clark

    Every now and then you get a glimpse of the future--when you're presented with a new fact or idea that causes other bits of information...

  • Fixing the Broken Windows

    Mark Tibergien

    As practices get larger, owners risk losing touch with their staffs and the culture they are trying to create. In many growing firms, owners frequently...

  • Deadline Looms for AMT Fix

    Melanie Waddell

    With a deadline to fix the Alternative Minimum Tax (AMT) by year-end fast approaching, Congress is in a mad dash to find alternative sources of...

  • It Seems Like We Touched A Nerve

    Staff Writer

    I am writing regarding your recent misguided November 2007 editorial entitled "Rainbow Advisors." While I applaud and support the idea that planning cannot be a...

  • Asset Allocation, December 2007

    Staff Writer

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

  • What's in a Moniker?

    Staff Writer

    The name of the newly merged firm of Kochis Fitz/Quintile is temporary, but will whatever new name is eventually chosen reflect the bigger ambitions of...

  • Grasping the New 403(b) Rules

    Melanie Waddell

    While critics have said the new rules regarding 403(b) plans will pile on the paperwork, there are definite upsides to the pending changes, retirement experts...

  • Group Think

    Staff Writer

    The Financial Planning Association and Janus announced the 2008 deadlines for entries for the Financial Frontiers Awards, a program that "promotes advanced research that expands...

  • Growing Diversity

    Kara P. Stapleton

    The securities industry continues to make workforce diversity a priority, according to the Securities Industry and Financial Markets Association's (SIFMA) 2007 Report on U.S. Workforce...

  • You Are Like Your Clients

    James J. Green

    I asked Tim Kochis the question I pose at the end of nearly all my interviews these days. "What," I said, after we had discussed...

  • Target Date: Now

    Melanie Waddell

    A few years ago, you'd be hard-pressed to hear the term "lifecycle" or "target date" funds being bandied about the financial services arena. Today, however,...

  • Care Givers

    Kara P. Stapleton

    The American population is aging rapidly and more than 76 million baby boomers are now moving through the second half of life. To boot, these...

  • A Force in the West, With Aspirations

    James J. Green

    Typifying a growing trend in the independent advisory industry, two big California wealth management firms--Kochis Fitz of San Francisco and Quintile Wealth Management of Los...

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