Investment Advisor-January 2007

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  • Asset Allocation, January 2007

    Staff Writer

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

  • When Selling Your Practice . . .

    Staff Writer

    Advisors are smart about many financial matters, but when it comes to selling their own firm, many are surprised about how much more there is...

  • How Incorrect Advice Can Hurt

    Staff Writer

    Employees lost a big chunk of their retirement savings to taxes after relying on incorrect advice after following their company's Summary Plan Description (SPD) and...

  • Who Are You?

    Marlene Y. Satter

    Warnings abound these days to protect your personal information--account and Social Security numbers, PIN numbers and passwords, all the bits and pieces of information that...

  • No Talent Shortage Here

    James J. Green

    At this time of year, each of us faces a choice in how we react to the world. We could look back with regret over...

  • NEWS & PRODUCTS

    Staff Writer

    Bank of New York and Mellon Financial Corporation announced plans to merge. The new firm, named Bank of New York Mellon Corporation, will be New...

  • Group Think

    Staff Writer

    The Certified Financial Planner Board of Standards announced that applications for its 2007 Financial Planning Grants program will be accepted through March 1, 2007. The...

  • Upgrades

    Staff Writer

    Barclays Bank announced an agreement with Bayerische Hypo-und Vereinsbank AG (HVB) to acquire Indexchange Investment AG. That firm will be combined with iShares, Barclays Global...

  • How to Hire People

    Staff Writer

    Of all the practices and procedures RIAs must establish, the management of human capital may be one of the most important because it affects the...

  • Delaying Gratification

    Staff Writer

    Sometimes the issues of when and how to retire affect more than a husband and wife. Take this story, for instance: Q: The niece of a...

  • The Mark That Makes It

    Staff Writer

    I received the December issue of Investment Advisor and was reading it during lunch. I read Bob Clark's column ("Hope It Wasn't Something I Said")...

  • Where'd It Go?

    Staff Writer

    Much of the focus in this month's Investment Advisor is on looking forward. Here's a brief look back at where investors were putting their money...

  • A Healthy New Year

    Melanie Waddell

    Growth of Health Savings Accounts (HSAs) and pricing pressure on brand name pharmaceutical manufacturers are among the top seven healthcare industry issues identified in The...

  • Schwab To Sell U.S. Trust Unit

    James J. Green

    Charles Schwab Corp. announced November 20 that it would sell its U.S. Trust unit to Bank of America for $3.3 billion in cash in a...

  • An Advisor Source for Alternatives

    Staff Writer

    For the past four years this column has chronicled the ongoing adoption of alternative investment strategies by the financial advisor community. As a manufacturer, manager,...

  • NEWS & PRODUCTS

    Staff Writer

    The Internal Revenue Service is mulling a new Enrolled Retirement Plan Agent (ERPA) designation to allow retirement plan professionals who are not approved to represent...

  • DC Advisor-Sponsor Matchmaker

    Staff Writer

    For Fred Barstein, founder and CEO of Palm Beach County, Florida-based 401kExchange, one of the most important issues in the retirement finance space today is...

  • Proud to Be a Consumer

    Staff Writer

    Many people in the media talk about U.S. consumerism as if it's something evil, something we should all feel guilty about, something that's out of...

  • A Dim Future for the Smaller Firm?

    Staff Writer

    What with the investment necessary to stay in the good graces of the regulators, and keep up with the technology gods, Lou Stanasolovich worries about...

  • Raising the Savings Rate

    Staff Writer

    "The Potential effects of Retirement Proposals on Private and National Saving: Exploratory Calculations," a paper released by The Retirement Security Project estimates that savings incentives...

  • Managing Growth, Smartly

    James J. Green

    Managing a firm of any size as it grows can be difficult, as many of the speakers at the 2006 Investment Advisor Summit noted, though...

  • Getting Compliance Help Now

    Melanie Waddell

    It's been a little over two years since the Securities and Exchange Commission issued its infamous rule--known as the compliance rule--requiring advisors to have a...

  • The Gatekeepers

    Lauren Barack

    Andy Brincefield has offered his clients Web-based access to portfolio reports for years. But he finds that the clients who want to see their portfolios...

  • A Legend, Still Striving

    Staff Writer

    When a successful, veteran advisor like Lou Stanasolovich of Legend Financial Advisors in Pittsburgh answers an interviewer's question on what was responsible for his achievements...

  • Risks & Rewards

    Kate McBride

    When you look back over decades of market performance it is clear that market forces have long been connected with other world events. Whether we're...

  • Happy New Year

    Staff Writer

    When it comes to predicting what's going to happen in the economy and market over the course of a year, the best prognosticators, of course,...

  • Analyze This

    Mark Tibergien

    Shortly after the 2006 Moss Adams Financial Performance Study of Advisory Firms, sponsored by SEI and JPMorgan Asset Management, was published and distributed to more...

  • A Word of Advice

    Angie Herbers

    It's not the cards you're dealt, but what you do with them that's important. Was reminded of this line after a speech I gave on...

  • Symbiotic Relationships

    Kate McBride

    When broker/dealers select a clearing firm to partner with, it pays to be choosy. This is one of the most critical relationships that any broker/dealer...

  • A New SRO's in Town

    Kate McBride

    The move to consolidate two broker/dealer self-regulatory organizations--NASD and the NYSE--and their corresponding and sometimes conflicting sets of rules into one unified SRO has picked...

  • Making a Statement

    Staff Writer

    The family wealth mission statement is a great opportunity for affluent clients to begin a dialogue on family priorities, determine their family's core values, and...

  • Changes

    Staff Writer

    The SEC announced that Charles Fishkin, who helped create the Commission's Office of Risk Assessment under then-Chairman Bill Donaldson in 2004, will leave the Commission...

  • About the Manager

    Kate McBride

    With 43 years in the investment business, Charles Royce has an enviable tenure that is matched by only a handful of portfolio managers. For 33...

  • Identity Crisis

    Staff Writer

    If you've already handled the client end of identity theft, what about your own vulnerability? Your business runs on confidential information. Social Security numbers, account...

  • Catching up with... Nick Nicolette

    Bob Keane

    As he assumes his new role as 2007 President of the Financial Planning Association, Nick Nicolette already has clear ideas about what the agenda for...

  • Behind the Numbers, with Mark Balasa

    Staff Writer

    "We always stay fully invested," remarks The Alpha Group's Mark Balasa as he explains why the group has the lowest cash allocation. Balasa says the...

  • Stepping Up

    Bob Clark, Bob Clark

    Ever wonder why you seem to be working harder for the same or even less money? Why your practice's revenues are up--maybe way up--but your...

  • Retiring "Retirement"

    Olivia Mellan

    As the first wave of boomers begins to spill into their 60s, I predict that you're going to see fewer and fewer mentions of the...

  • The Other Fiduciary Issue

    Staff Writer

    Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities. Given a variety of well-publicized fiduciary...

  • The ABCs Of Retirees

    Maya Ivanova

    As the population ages and the markets become increasingly challenging, two trends have become top of mind for advisors: the dominance of retiring baby boomer...

  • The Trust Threat

    Bob Clark, Bob Clark

    Ron Wiser is not a typical financial advisor. For one thing, his Kalamazoo, Michigan firm has more than $800 million under management. But more interesting,...

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