Investment Advisor-January 2004

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  • More Help For RIAs

    Staff Writer

    I had an epiphany this morning," says Peter Mangan, "and I realized I was wrong." Thank heavens, I thought to myself. I like Mangan. I didn't...

  • When Zero Has Value

    Staff Writer

    When it comes to transferring wealth, one of the biggest challenges is to minimize the amount of estate and gift taxes incurred by clients and...

  • Switching Success

    Staff Writer

    If you've switched broker/dealers, you know the meaning of frustration. But there's no way to avoid it, right? Wrong. There are steps you should take,...

  • Getting It Right

    Staff Writer

    Do your clients have incorrect beneficiary designations? Sadly, the answer is probably yes. One leading tax authority and industry analyst estimates that 75% to 80%...

  • Fanning the Flames

    Staff Writer

    When Teresa Jensen-White of San Antonio first became a fee-based advisor in 1981, she was excited and inspired by her work. She earned her CFP...

  • Model of the Future?

    James J. Green

    You may have heard the disputed rumor that accountants will inherit the planning earth, but you may not have heard of a broker/dealer that caters...

  • The Gurus Weigh In

    Staff Writer

    FORECAST FOR 12/31/04 ALLOCATION DJIAS&P 500NASDAQFED FUNDS10-YR TSY. 4TH QTR GDPCPIYEN/$$/EUROSTK/BOND/CASH Lincoln Anderson11,500NANA2.00%5.50%4.50%2.20%1201.0777/20/3 Mark Balasa10,9001,1702,1002.00%4.70%3.80%2.70%1021.1565/33/2 Richard Bernstein10,5001,1501,9501.00%6.00%4.00%1.10%901.33NA Anthony Chan10,6501,1502,0951.50%4.90%4.00%2.40%1051.0960/38/2 Gail Dudack10,6601,1302,0002.50%5.50%3.40%2.50%951.3050/30/20 Sam Stovall11,0601,1902,1751.25%5.25%5.00%1.30%NANA65/10/25 Gary Shilling8,000NANA1.00%3.00%4.00%0.70%1201.0030/50/20...

  • About the Manager

    Staff Writer

    J. Jeffrey Auxier is the president and CEO of Auxier Management. He has a bachelor's degree in finance from the University of Oregon with an...

  • On the Agenda

    Staff Writer

    Nancy Johnson, a planner and FPA Board member, provided this list of some of the regulatory and compliance issues that will be addressed by the...

  • Getting Something From Less Than Nothing

    Marlene Y. Satter

    With the help of FinancialCircuit, a company based in Campbell, California, that makes liability management software, broker/dealer LPL Financial has added an additional source of...

  • Harold Evensky and Deena Katz

    Staff Writer

    Evensky, Brown & Katz 2333 Ponce de Leon Boulevard, Penthouse Suite 1100 Coral Gables, Florida 33134-6622 Phone: 305-448-8882 or 800-448-5435 www.evensky.com harold@evensky.com o deenakatz@evensky.com Year practice began: 1984 Number of advisors in...

  • Looking for Mr. Right

    Mark Tibergien

    I've been working in and around the financial services industry since the early 1970s. In my experience, the advisory practices that have been most successful...

  • Eyes on the Prize

    Staff Writer

    This is the second in a three-part series on the challenges facing fee-only advisors. Part 1, which appeared in the December 2003 Investment Advisor, addressed...

  • Red Tape, Red Ink?

    Marlene Y. Satter

    Corporate malfeasance. After-hours trading. Mutual fund misdeeds. Breakpoints. A market that lost more than 40% of its value in the last three years. Rampant consumer...

  • Why Some B/Ds Fear Reform

    Staff Writer

    The mutual fund scandal seems likely to usher in regulatory reform that goes beyond the late traders and market timers, beyond the hedge funds and...

  • Explaining Long-Term Care

    Staff Writer

    In the newly published third edition of his book, The Truth About Money (HarperBusiness), advisor Ric Edelman teaches the basics of managing personal assets and...

  • Open a New Window

    Olivia Mellan

    Once again, it's time to take down the old calendar and put up in its place a brand-new year, bright with hope, unmarked by any...

  • A Patient Man

    Staff Writer

    Farming and investing might appear to have little in common on the surface, but you'd be surprised at how closely related the two activities actually...

  • Taking on the Goliaths

    Staff Writer

    Much like a modern day version of David and Goliath, independent advisors face overwhelming odds against the representatives of corporate giants who come to the...

  • Chugging Along

    Staff Writer

    Wall Street isn't partying like it's 1999 again--not yet, at least. But as the economy and stock market continue to awaken from their post-bubble blowout,...

  • Back to the Future

    Staff Writer

    Financial planner Ed Winslow's book, Blind Faith, was published in June 2003, but the idea for the book started "percolating" in his brain some six...

  • Still Striving

    Staff Writer

    It's a typical evening at the home of renowned financial planners Harold Evensky and Deena Katz: In the study, Gary Brinson is sidling up to...

  • Clear Sailing

    Marlene Y. Satter

    Industry consolidation is taking its toll on clearing firms--on the number of firms, that is. But if you listen to executives at the surviving firms,...

  • The Client Comes First

    Staff Writer

    Bet your firm doesn't provide valet parking, does it? Do you let clients "borrow" your firm's technology specialist to iron out their companies' computer glitches?...

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