Investment Advisor-February 2007

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  • Failure to Communicate

    Olivia Mellan

    When a mother visits a grown-up daughter in the daughter's home, can the mother surrender her need to be in charge? Does she criticize the...

  • Separate Accounts Capture More Assets

    Kate McBride

    PMFM has caught onto a trend, or is perhaps helping cause the trend, with its emphasis on the use of separate accounts for its clients...

  • The Virtue of Impatience

    James J. Green

    There are multiple legitimate business models in the independent advisory world, and by listening to you and observing your activities and priorities, it's clear that...

  • An Anniversary, Texas Style

    Staff Writer

    The financial planning program has a long history at Texas Tech University in Lubbock, where Deena Katz plies her trade these days. It was one...

  • CPA Shortage Looms

    Kara P. Stapleton

    If you're worried that the profession faces "a talent shortage crisis," as Mark Tibergien said at the Investment Advisor--Moss Adams Advisor Summit last year, just...

  • Planning the "Prenup"

    Staff Writer

    Where a prenup is clearly the planning tool of choice, the following approaches may help to smooth negotiations and ensure the establishment of a valid,...

  • February 2007

    Staff Writer

    In response to the scandal over favors given to some Fidelity mutual fund equity traders and supervisors by certain broker/dealers from 2002 to 2004, Fidelity...

  • A Matter of Style

    Staff Writer

    By Craig Callahan, founder and president of Icon Advisers in Denver, and C. Thomas Howard, professor of finance at the Daniels College of Business, also...

  • IRA Assets at $3.7 Trillion

    Staff Writer

    Individual retirement account assets saw their third consecutive year of growth in 2005, reaching a record high of $3.67 trillion, according to a new report...

  • Catching up with... Lew Altfest

    Bob Keane

    A major topic of discussion among advisors is how to achieve recognition for financial planners as professionals on a par with accountants and lawyers. Lew...

  • February 2007

    Kara P. Stapleton

    The American College will celebrate National Financial Awareness Day, on March 6. This year's theme focuses on the importance of disability income protection. The NASD Investor...

  • A Catalyst of Change

    Kate McBride

    Perhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...

  • Through Thick and Thin

    Staff Writer

    Balanced funds provide investors with diversification within the confines of a single investment vehicle by holding a portfolio of highly uncorrelated asset classes. Such funds...

  • HSA Changes

    Staff Writer

    Download a document outlining proposed changes the health savings accounts (HSA) under H.R. 6111 here.

  • Schwab to Bankroll Breakaway Brokers

    James J. Green

    Keeping up the business momentum evident in the closing months of 2006, Charles Schwab announced January 11 that its affiliated advisors now custody more than...

  • Defining Style

    Staff Writer

    An investment style is the way a manager goes about analyzing, buying, and selling stocks. Elements are the specific aspects of the stock and/or company...

  • News & Products

    Staff Writer

    The Tax Relief and Health Care Act (H.R. 6111), which passed the House and Senate in early December, is being hailed as a bill that...

  • "Mommie Dearest..."

    Olivia Mellan

    Sometimes a client's sense of self has been badly damaged by her mother, and for one reason or another (the mother's death, for example) the...

  • Behind the Numbers, with Sam Stovall

    Kara P. Stapleton

    "Our investment policy committee has a benchmark for the average balance investor of 60% of their money exposed to equities and 40% exposed to fixed...

  • To Succeed, Keep It Simple

    Staff Writer

    As financial advisors we are responsible for helping our clients build wealth in the most effective way possible. After all, that's what they pay us...

  • Buying Access to the Big Plans

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Transparency, a commitment toward service, and a range of low-fee investment options offered on an open architecture platform. This is the cornerstone of the Schwab model...

  • Asset Allocation, February 2007

    Staff Writer

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

  • CPA Talent Crunch

    Kara P. Stapleton

    Think there's a shortage of young investment advisors and financial planners? Just be glad you're not a CPA. According to U.S. Bureau of Labor Statistics,...

  • It's a Matter of Trust

    Staff Writer

    Thanks for a great article on Trust Services "The Trust Threat" (Clark at Large) in the January 2007 issue. Let me start by saying that...

  • In the Running--February 2007

    Staff Writer

    When we look for a mutual fund to profile for the Mutual Fund Spotlight feature in Investment Advisor, we often see other funds in the...

  • Taking Advantage of the Pension Protection Act

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    The Pension Protection Act (PPA) signed into law last August is among the most important and comprehensive pieces of legislation in several decades, and a...

  • Who's Who in the 110th

    Staff Writer

    With the democrats in control of Congress comes new committee assignments. For instance, the Senate Finance Committee is now headed by Max Baucus. The Montana...

  • Caught in the Undertow

    Marlene Y. Satter

    Do your clients own a beachfront retreat in Hilton Head? A second home with a private dock in Boca Raton? A primary residence filled with...

  • A Matter of Life and Health

    Kate McBride

    Health insurance: we all need it, and though we may sometimes think of the premiums as just one more tax on our income, nobody really...

  • Prenups and Protection

    Susan L. Hirshman

    What type of "investment" can grow almost 120 times in just four years? Surprisingly, it is not the type of financial planning tool you want...

  • No Accounting For This

    Mark Tibergien

    The newly-created Schwab IMPACT award for best-managed advisory firm, its Best in Business designation, was not given to an advisory firm in the usual sense...

  • Small Is Beautiful, Part Deux

    Bob Clark, Bob Clark

    As regular readers of this column undoubtedly know by now, Moss Adams is one of my long-time clients. It was a privilege to work this...

  • A New Leaf

    James J. Green

    When it comes to advisors who have high Q ratings, Deena Katz is a winner. Through her business and personal partnership with Harold Evensky at...

  • The Solution

    Bob Keane

    The coming "retirement crisis" in America has been the subject of countless newspaper, magazine, and evening television news stories. Experts of all stripes have voiced...

  • A Look Ahead, and Advice on Today

    James J. Green

    "We're under capacity by 60,000 planners," predicts Percy Bolton of Percy Bolton Associates in Pasadena, California, partly due to the creation of the "fiduciary advisor"...

  • Investing With Style

    Staff Writer

    In a series of articles appearing in Investment Advisor (September 2005, January 2006, and February 2006), we criticized the market-cap/value-growth characteristic grid used for categorizing...

  • Like Mother, Like Daughter

    Olivia Mellan

    One of my mother's favorite jokes involved a late-night TV program whose host was interviewing a famous star. When this star mentioned hating her mother,...

  • Watch Out

    Melanie Waddell

    Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. (See following page...

  • When Should You Register?

    Thomas D. Giachetti

    Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under...

  • More Art Than Science

    Kate McBride

    One popular way to diversify equity assets is with international investing; there are plenty of single-country, region, and international funds around, not to mention the...

  • How to Find Style-Consistent Managers

    Staff Writer

    Absent a comprehensive, reliable way to categorize mutual fund managers by style, how can an advisor go about constructing a portfolio of style-consistent fund managers?...

  • Beginning This Month

    Staff Writer

    Tax Talk Today will begin providing to Investment Advisor readers quarterly highlights of the tax planning content of its popular, authoritative Webcasts. Brought to viewers...

  • February 2007

    Staff Writer

    Ann Combs, former Assistant Secretary of Labor and head of the Employee Benefits Security Administration (EBSA) from 2001 to 2006, will join Vanguard this month....

  • Driving to the Coast

    Staff Writer

    - In 2000, of the 281 million people that lived in the U.S., more than 148 million people lived in coastal counties. - Coastal counties contain...

  • Lock-Ups Should Pay Up

    Jeff Joseph

    There is an increasing number of hedge funds asking for lock-ups, and lock-up periods are getting increasingly longer, but what excess return should you ask...

  • How Businesses Can Get Theirs

    Staff Writer

    In the February 2007 Tax Advisor column in Investment Advisor from Tax Talk Today's Les Witmer, the process was described for how individuals can file...

  • The True Costs of Active Management

    Ben Warwick

    Even the most rational investors must admit to temptation when the subject under discussion is actively-managed mutual funds. After all, it's nearly impossible to read...

  • The Near Future in Retirement Planning

    Melanie Waddell

    Besides Department of Labor (DOL) fee-disclosure rules requiring mutual fund companies and retirement plan providers to disclose the amount they are charging and to whom,...

  • About the manager, Brent Lynn

    Kate McBride

    Based in Denver, Brent Lynn manages about $9.5 billion as executive VP and portfolio manager of the Janus Overseas Fund and portfolio manager of other...

  • Small Caps On Top Again

    Kara P. Stapleton

    The small-cap Russell 2000 Index made a comeback in 2006 with a gain of 18.4%, outperforming the large-cap Russell 1000 Index (15.5%) for the seventh...

  • Clear Road Ahead

    Melanie Waddell

    As the Department of Labor and Congress zero in on disclosure of fees associated with qualified retirement plans, the independent broker/dealer Commonwealth Financial Network recently...

  • It's That Time Again

    Staff Writer

    With filing season upon us, the Tax Talk Today Webcast series has dedicated its recent programs to those issues near and dear to the heart...

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