Investment Advisor-June 2004

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  • TOOLS OF THE TRADE-Using the Right Lens

    Staff Writer

    When it comes to providing a successful investment experience for your clients, one piece of advice I learned early on as an advisor is this:...

  • FROM TACTICAL TO PRACTICAL- By the Book

    Staff Writer

    You're at the point in your career where you've decided it's time to write a book, and you want to ensure that your efforts are successful....

  • Emerging Market Funds Sector Leaders

    Staff Writer

    Fund Stars Total Return Standard Deviation Exp. Ratio Max 12(b)1 Max Front-End Load One-year annualized Quant Emerg Markets/Ord QFFOX574.80%20.86%2.29%0.50%0.00% Delaware Pooled:Emerg Mkt DPEMX567.8418.681.230.000.00 Van Eck:Emerging Mks/A GBFAX163.7821.032.000.505.75 Pictet Global Emerg...

  • Change in Ownership

    Staff Writer

    Security Benefit Corp., of Topeka, Kansas, and Brecek & Young, the independent broker/dealer in Folsom, California, are "forming a strategic alliance," according to President and...

  • THE PLAYING FIELD- Serving the Not-So-Wealthy

    Staff Writer

    Ron Peremel has created a referral Web site that provides a smart way to remedy one of the industry's conundrums: serving middle-market America. Peremel launched...

  • Key Benchmarks

    Staff Writer

    1-yr annualized 3-yr annualized 5-yr annualized Rtn. Std. Dev. Rtn. Std. Dev. Rtn. Std. Dev. S&P 50022.81%8.77%-2.36%16.49%-2.25%16.86% S&P/IFCI 55.4315.0615.8721.707.2522.62 Average Emerging Market Fund32.8210.08-0.3817.13-1.3017.32 Glossary Fund Stars Funds are ranked on a three-year Sharpe ratio...

  • Bumper Crop Of Enforcement Actions

    Staff Writer

    If you think the SEC is having a field day with new regulations, just check out the number of enforcement actions the regulator has issued...

  • Debunking Myths About ARMs

    Staff Writer

    While the number of home buyers using adjustable rate mortgages (ARMs) has increased to 35% from 14% a year ago, according to the latest figures...

  • A Chilling Effect?

    Staff Writer

    One of the main arguments against the newfound vigilance of the SEC presented by many smaller RIAs is that the rules are more appropriate for...

  • Just Part Of Building A Business

    Staff Writer

    When it comes to compliance, mike leonetti has a matter-of-fact attitude that led him to hire a chief compliance officer--John O'Brien--in 1997 for his now...

  • About The Manager

    Staff Writer

    Kevin Baum calls his position as manager of the Oppenheimer Real Asset Fund a great combination of his two loves--investment markets and commodities. How does...

  • On The Road, And In Print

    Staff Writer

    When they're not sharing their pearls of wisdom in print with IA readers, our columnists still find plenty of ways to keep busy. Larry Chambers was...

  • Screening Process

    Staff Writer

    Reps interested in moving to another B/D should consider compliance when they make their choices. Dennis Kaminski, chief compliance officer at Mutual Service Corp., suggests...

  • Checking In With Mark Spangler

    Staff Writer

    The former chairman of NAPFA, a private equity investor, and president of Seattle-based Spangler Financial Group, Mark Spangler currently has some $100 million under management....

  • Fountain Of Youth

    Staff Writer

    If your clients call to say they're bringing their children to your meeting this afternoon, you'll probably put on an extra pot of coffee for...

  • Fly Right

    Marlene Y. Satter

    With changes afoot on everything from e-mail archiving to breakpoints to money laundering and the Patriot Act, independent broker/dealers have to be nimble. Into the...

  • More Than Meets The Eye

    Bob Keane

    Appearances can be deceiving, and experts can look at the same data and draw different conclusions. Take Oppenheimer's Real Asset Fund. Its top holdings appear...

  • A Rocky Ride

    Staff Writer

    Limited partnerships, a once popular investment vehicle initially created to help investors avoid paying taxes, and a vehicle used to retain high broker transaction fees,...

  • Passing It On

    Staff Writer

    A family-owned business is one of the most common types that exist today, and is the backbone of American enterprise. The contemporary family business owner,...

  • Tall Order

    Melanie Waddell

    Compliance. It's the buzzword of the day. Attend an industry conference, and you'll notice that the compliance sessions are standing room only. It's no wonder....

  • THE GLUCK REPORT- The Right Way To Optimize

    Staff Writer

    Is today's "sophisticated" advisor actually that sophisticated after all? A growing number of academics and leading investment thinkers believe they are not. Some, like Bill Jahnke...

  • Marnie Aznar

    Staff Writer

    Marnie Aznar Aznar Financial Advisors 14 Raymond Road Morris Plains, NJ 07950 Phone: 973-540-8850 Fax: 973-755-9196 www.aznarfinancialadvisors.com maznar@aznaradvisors.com Year practice began: 1999 Number of advisors in office: 1 Number of clients: 45 Compensation method(s): Fee-only (annual...

  • Turning the Tables

    Staff Writer

    The clich? about being "on the same side of the table" as the client is about as old and tired as they get in the...

  • What I Learned in Canada

    James J. Green

    I learned at least two valuable lessons while attending the National Association of Personal Financial Advisors conference in Toronto. To wit: 1) Canadians have a good...

  • Spreading The Word

    Staff Writer

    Do you ever feel like you spend more time, effort, and money luring new clients to your door than actually working with existing clients? Perhaps...

  • Trading Down

    Staff Writer

    O ver the 12 years that Investment Advisor has been surveying the secondary market for limited partnerships, there has been a drastic reduction in the...

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