Investment Advisor-July 2006

Issue Gallery ›

  • Keeping Them Privileged

    Staff Writer

    During a regulatory examination or a client litigation/arbitration proceeding, be sure not to provide e-mails to or from your legal counsel. These e-mails, together with...

  • Client Archetypes

    Staff Writer

    The Goodlife person's passions are driven by pleasure, exclusivity and experiences. Steeped in the belief that "money exists to use and enjoy," Goodlife people have...

  • Trading Up, at a Cost

    Staff Writer

    We live in an emotionally adolescent culture that focuses mainly on short-term solutions. Many of us are not well trained in delaying gratification. We don't...

  • NUMEROLOGY

    Staff Writer

    The College Savings Foundation released a report conducted by Financial Research Corporation which found that assets in 529 college savings plans rose to an estimated...

  • The Silver Lining

    Staff Writer

    Freakonomics research isn't all about revealing the darker side of human behavior. Consider this analysis of Paul Feldman's bagel business. Feldman was an economist in...

  • Retirement Advisor Profile

    Melanie Waddell

    Len Reinhart is a staunch believer that using the relatively new concept of unified managed accounts (UMA), also dubbed unified managed households (UMH), is the...

  • Tackling the Challenges

    James J. Green

    What are the biggest challenges facing the profession in the years ahead? According to the 12 members of the IA Leaders' Council, they are finding...

  • Mark's Rules on How to Handle Bosses

    Staff Writer

    If you have a problem with somebody, deal with them directly instead of triangulating with a third party. If you feel you are being...

  • Hedge Funds Favor Diversification

    Staff Writer

    In the hunt for opportunities in an increasingly crowded space, hedge fund managers are seeking to broaden their strategic options as well as their geographic...

  • Ticked Off About TIC

    Staff Writer

    Seth Pearson's article, "The Next Investment Scandal" (IA Soapbox, June 2006), contains several inaccuracies and overstatements about the TIC (tenants-in-common) industry. By using the word scandal,...

  • Keying Into Income Needs

    Melanie Waddell

    Two of the top providers of financial planning software--Morningstar and Emerging Information Systems (EISI)--are heeding advisors' calls for help in crafting retirement distribution strategies. EISI,...

  • Planning for the Wounded

    Staff Writer

    When my husband Brian, a staff sergeant in the U.S. Army, deployed to Iraq last August, we knew it was going to be difficult. We...

  • Facilitating Wealth Management

    Staff Writer

    If the number of advisors practicing wealth management is growing, so is the number of companies looking to help them practice it successfully. With that...

  • ASSET ALLOCATION

    Staff Writer

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

  • Assessing Employees Effectively

    Staff Writer

    An effective performance evaluation will assess all planning employees in the following nine areas of development, weighted to emphasize the areas most important to each...

  • News & Products

    Staff Writer

    The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...

  • Behind the Numbers, with Sam Stovall

    Staff Writer

    According to sam Stovall, S&P's chief investment strategist, it's not time to be bearish on the market just yet. "Our feeling is that the correction...

  • Two Cautionary Tales

    Staff Writer

    David Bibicoff, a planner from Strategies for Wealth Creation & Protection in White Plains, New York, reiterates the need for planners to anticipate protection needs...

  • Team Player

    Staff Writer

    Stuart Zimmerman WILLINGLY gives credit to his partners for the success of the firms they've built. Zimmerman is particularly proud of Buckingham's zeal for academic...

  • Optimistic Outlook

    Kate McBride

    Workers in finance and accounting jobs are more optimistic about the economy, and their work lives, than their counterparts in the general U.S. labor pool,...

  • Closing a Loophole

    Staff Writer

    The IRS was concerned that if someone established a charitable remainder annuity trust it might be done in such a way that the annuity remitted...

  • GROUP THINK

    Staff Writer

    Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign, a consumer education program that is being supported by the NAPFA Consumer Education Foundation,...

  • Reviewing the Situation

    Marlene Y. Satter

    When advisors devise financial plans for their clients, there's plenty of work done on the asset management side. When it comes to asset protection, however,...

  • Steady At The Helm in Rough Seas

    Staff Writer

    Following a volatile but vertical course, international stocks have rocketed upward over the last decade, with a sustained rise since March 2003. Global demand for...

  • On Responsibility

    Staff Writer

    I found myself dining during the recent Pershing conference next to a gentleman who is an executive at a Midwestern broker/dealer. This mid-size B/D has...

  • Behind the Numbers

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Until recently, Japan's public pension system was in grave danger of being unable to serve the retirement needs of its people in years to come....

  • Contact Point

    Lauren Barack

    Ideally, Gary Zaugg would chat with his computer, have it input client notes, and file appropriate details into the correct folders--all without the Virginia Beach,...

  • Passing the Baton

    Kate McBride

    What's the secret strategy for a fund that holds the distinction of 15 consecutive years of positive total returns? "We think like financial planners," says...

  • Transfer Time, Part 2

    Staff Writer

    This second installment continues to review the strategies that are used by planners to assist their clients in conserving the wealth they have accumulated in...

  • Two Faces of Wall Street

    Kate McBride

    People who work on Wall Street in "financial professional" capacities, that is, as registered representatives, investment advisors, investment bankers, analysts, or traders realize that they...

  • Manage Your Boss

    Mark Tibergien

    After a particularly arduous day with an advisor who was tormented by his inability to have constructive interactions with his staff, I mindlessly clicked through...

  • Getting It All Done

    Bob Keane

    F. Scott Fitzgerald was certainly onto something when he said, "The rich are different from you and me." The difference is a bit more complicated,...

  • Just the Facts

    Bob Clark, Bob Clark

    If you're a data nerd like me, I've got a book for you: Freakonomics by Steven Levitt, an economist at the University of Chicago, and...

  • Unreal Estate

    Olivia Mellan

    For many clients, emotions around home and property aren't gone with the wind. Many of us grew up believing that owning a place of our...

  • Show Me, Show Them

    James J. Green

    The easy thing to say about Stuart Zimmerman is that he's an advocate for CPAs doing financial planning. It's easy because he's prone to say...

  • Positive Party

    Angie Herbers

    In 1952, Norman Vincent Peale suggested that we all can profoundly affect our own productivity in his blockbuster book, The Power of Positive Thinking. For...

  • Extension Explication

    Melanie Waddell

    While a number of the provisions in the recently passed $70 billion tax package, the "Tax Increase Prevention and Reconciliation Act of 2005," will have...

  • Providing More Than a Commodity

    Susan L. Hirshman

    Last month we introduced research conducted by JPMorgan regarding clients' passion points, and talked about how you can tap into them to grow your business....

  • Power of the People

    Maya Ivanova

    You may not realize it, but at the end of each day some of your firm's most valuable assets disappear right out from under your...

  • About the Managers

    Staff Writer

    After more than three decades with T. Rowe Price, Stephen Boesel, 62, VP of T. Rowe Price Group, and T. Rowe Price Associates, will gradually...

  • UPGRADES

    Staff Writer

    During its annual conference, Pershing LLC announced healthy growth in the number of RIAs custodying client assets and trust accounts through its Pershing Advisor Solutions...

  • News & Products

    Staff Writer

    Hoping to serve as a "catalyst for change," the Center for Retirement Research at Boston College has some bleak news for Americans. Alicia Munnell, director...

  • Pareto Principle

    Staff Writer

    Its deal with Cadaret, Grant to customize its existing CRM software was the first of its kind for the nearly six-year-old firm Pareto Systems, says...

  • CHANGES

    Staff Writer

    The Securities and Exchange Commission announced that Susan Ferris Wyderko, director of the Office of Investor Education and Assistance, will leave the Commission. She will...

  • Picking Your Partners

    Staff Writer

    A popular notion is that advisors must establish a niche in order to distinguish themselves from competitors. Carstens says while finding a niche helps, advisors...

  • Lenox Advisors, Inc

    Staff Writer

    530 Fifth Avenue, 11th Floor New York, NY 10036 Phone: (212) 536-8700 Fax: (212) 536-6014 www.lenoxadvisors.com Year firm started: 2000 Number of partners in firm: 6 AUM: $1 billion Compensation method: Annual financial...

  • The Currency Conundrum

    Staff Writer

    As if investors don't have enough to worry about as they wrestle with the proper allocation of stocks, bonds, commodities, and hedge funds, and philosophical...

  • Passing Muster

    Thomas D. Giachetti

    In this, my initial column, I will begin to address compliance and practice protection-related issues important to both SEC and state registered investment advisors. My...

  • Already There

    Melanie Waddell

    Defining wealth management. It's a task that many advisors and industry officials have taken on as the term--and the practice--has reached the height of its...

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