Investment Advisor-July 2008

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  • Asset Allocation, July 2008

    Staff Writer

    Read this month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers here.

  • Liar, Liar...

    Staff Writer

    I read Olivia Mellan's wonderful article, "Pants On Fire: Dealing With Liars And Cheats," in the June 2008 edition. Nice job. I am a hedge fund...

  • The Return of $20 Oil?

    Staff Writer

    On the same day in June that oil reached a new high of $139 a barrel, I had a conversation with Ben Warwick, CIO of...

  • Strength From Weakness

    James J. Green

    That which makes us strong is often our greatest weakness. That which provides us with our greatest advantage usually is our biggest handicap as well. What...

  • Changes

    Staff Writer

    The Board of Directors of Putnam Investments announced that Robert "Bob" Reynolds has been named president and CEO of Putnam Investments. Charles "Ed" Haldeman, current...

  • NEWS & PRODUCTS, JULY 2007

    Staff Writer

    Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...

  • Follow the Money

    Staff Writer

    If you need further convincing that advisors are increasingly allocating their clients' assets to overseas markets, just look at recent data from Advisor Perspectives. Using...

  • Taking Flight: Transporting Those in Need

    Kara P. Stapleton

    As an advisor, you know firsthand how long the workweek can be. Between meeting with clients, managing employees, doing investment research, and dealing with paperwork,...

  • Assimilation Nation

    Staff Writer

    Proponents of cultural diversity may be unhappy to learn that many of the nearly 40 million U.S. immigrants are already on the road to assimilation....

  • Group Think

    Staff Writer

    The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...

  • Stop Relying on the Fed

    Staff Writer

    Investors have grown accustomed to bold moves by the Federal Reserve to defend against the evil unknown. The Fed's easing has become almost chronic and...

  • Reynders, McVeigh Capital Management, LLC

    Staff Writer

    4 Liberty Square Boston, Massachusetts 02109 Phone: 617-226-9999 Web site: www.reyndersmcveigh.com Year firm founded: 2005 Assets under management: $260 million Number of clients: 120 relationships Compensation: Fee-based (1% of the first $3...

  • Pershing Welcomes a Multitude

    James J. Green

    By just about any measure, registered investment advisors are winning the battle, and maybe, just maybe, the whole war against the captive forces of the...

  • Not the Right Fit?

    Staff Writer

    Career support and resources look different depending on the size and culture of the organization. Take a Fortune 500 company. Such a company is likely...

  • The Value of Community Outreach

    Staff Writer

    There seems to be a great deal of potential to train more Hispanic, African-American, and other financial advisors who are attuned to the culture of...

  • FPA Spotlight

    Staff Writer

    At its annual conference in Boston this October, the Financial Planning Association will assemble a stellar panel to discuss "Cross-Cultural Financial Planning: Making a Business...

  • Get Over It

    Staff Writer

    Performing a gap analysis on your own practice--discerning the difference between your ideal vision of the practice and its current reality--requires objectivity on your part....

  • Invest in Others

    Staff Writer

    LPL Financial created the Invest in Others Charitable Foundation in 2006 to recognize its advisors and their impact on their communities, and to further encourage...

  • NEWS & PRODUCTS, JULY 2008

    Staff Writer

    The Department of labor (DOL) will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive, warned Alan Lebowitz, a DOL official,...

  • SEC Chairmen of Yore Speak

    Melanie Waddell

    How can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...

  • Going Global as a Competitive Advantage

    James J. Green

    So is globalization coming to your corner of the world? Rich Brueckner, the chairman and CEO of Pershing LLC, notes that investors "want to take...

  • Drivers of Annuity Sales

    Melanie Waddell

    Assets in annuities will jump to $2.9 trillion by 2012--a compound annual growth rate of 7.9%--sparked by demographic trends and product development that addresses both...

  • Further Integration at Fidelity

    James J. Green

    It's no secret that those who provide independent financial advice fall somewhere along a spectrum of independence from the registered rep of an independent broker/dealer...

  • Riding The Rally In Natural Resources

    Staff Writer

    Investors have suffered a double dose of bad news this year. As the U.S. economy slows under the weight of the weakened housing market, a...

  • Don't Stop Spending

    Kara P. Stapleton

    The credit crunch of 2007 has led to a decline in value of structured products like credit derivatives. "These products had been highly leveraged by...

  • Upgrades

    Staff Writer

    Advanced Equities Financial Corp. launched Venture Gateway (www.venturegateway.com), a Web portal that connects institutional and other high-net-worth investors with late-stage private equity opportunities. The portal...

  • Dutch Life Planning

    James J. Green

    When Paul Versteeg became CEO of Allianz's Dutch insurance operations in 2004, he realized he had a problem. Having spent most of his career in...

  • Be Positive

    Bob Keane

    Conventional wisdom says that in order to practice socially responsible investing one must be willing to accept subpar investment returns, as if doing the right...

  • Minority Report

    Olivia Mellan

    Our nation is often described as a melting pot, but I think it's also somewhat like a popcorn popper. People from different cultural backgrounds are...

  • Learning to Listen

    Angie Herbers

    A couple of years ago, my partner Bob Clark told me about an advisor he knows in Columbia, South Carolina, named James Wilson. A past...

  • United We Grow

    James J. Green

    Most interview subjects wait for the questions to be lobbed in by the journalist. Others--usually the Type A CEO type--launch directly from the introductory pleasantries...

  • Awaken Your Inner Manager

    Mark Tibergien

    Management consultants are fond of the adage "Companies hire people; managers lose them." As trite as such sayings are to those who are doing their...

  • Globalization Now

    Melanie Waddell

    Globalization. We hear the term over and over nowadays yet it's often hard to define succinctly because it encompasses myriad issues. At its core, globalization...

  • Shrinking Planet

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Asignificant number of the new clients that Jeremy Deedes, founder and director of the Yorkshire, England-based firm Planning for Life, has taken on this year...

  • A Special Kind of Life Insurance

    Lewis Schiff

    One of the benefits of working with advanced planning networks is that they can add the right kind of specialist to deliver a better solution...

  • With Friends Like These...

    Bob Clark, Bob Clark

    My sense is that these days, some financial planners have become ambivalent about the doings of the CFP Board. So you may or may not...

  • Canadian Invasion

    Geoff Kirbyson

    Canadians are making a run for the border like never before, a migration that's triggering a rash of financial planning issues for investors with dual...

  • Energy Is in the Air

    Bob Keane

    Most reasonable people would agree that we have an energy problem, if not a full-blown crisis in this country. Yet our elected leaders seem, with...

  • Looking Out for Number Two

    Joni Youngwirth

    Maybe some of us are just lucky and end up in the right career. I know I've been passionate about my career over the last...

  • Fight the Power

    Elizabeth D. Festa

    Ever wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer,...

  • One Forward, Two Back?

    Marlene Y. Satter

    This past March the Department of the Treasury released its Blueprint for a Modernized Financial Regulatory Structure, which sets forth an argument for the need...

  • Lone Investors

    Kara P. Stapleton

    Many affluent individuals still haven't grasped the benefits of having professional advisors. In responding to the 2008 Phoenix Wealth Survey many millionaires described themselves as...

  • If It Ain't Broke...

    Staff Writer

    Sandy Praeger, president of the National Association of Insurance Commissioners (NAIC) and Kansas insurance commissioner, is critical of Treasury's plans for overhaul of the insurance...

  • Avoid These 15 Tax Traps!

    Staff Writer

    Multiple tax and estate planning pitfalls can arise when dealing with international clients, defined as non-U.S. citizens who are either resident aliens or nonresident aliens,...

  • Catching up with... Mark Tibergien

    James J. Green

    It's a good time to be a seller of an RIA firm, at least a certain kind of RIA firm, according to the latest definitive...

  • Behind the Numbers, with Lincoln Anderson

    Mark Tibergien

    LPL Financial's chief economist is over-allocated to stocks "because we're at the end of a 25-year rally in bonds, and yields have come down to...

  • Women Still Lack Confidence on Retirement

    Kara P. Stapleton

    Sometimes no news is bad news, though the findings of a recent study on women and retirement suggest that there remains an educational opportunity for...

  • With a little help from my friends...

    Staff Writer

    The advisors quoted in this two-part article were all very generous in providing insights to help others reach clients from minority backgrounds. I also owe...

  • Schwab Smoothes the Road to Independence

    James J. Green

    Schwab Institutional announced on June 12 a multipronged platform--with some existing planks, and some newly laid ones--to ease the transition process for brokers who wish...

  • NAPFA Asks Its Members to Get On the Bus

    James J. Green

    Much like the Presidential candidates, NAPFA is bringing its message to the people. Beginning after Labor Day, the National Association of Personal Financial Advisors plans...

  • What's New With 12b-1s

    Staff Writer

    Andrew "Buddy" Donohue, director of the SEC Office of Investment Management, revealed some more details about how 12b-1 fees would likely be treated under a...

  • Graff's Goal at ASPPA: Closing the Gap

    Elizabeth D. Festa

    A go-to guy in Washington for retirement plan policy, Brian Graff has been at the helm of the American Society of Pension Professionals & Actuaries...

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