Investment Advisor-June 2006

Issue Gallery ›

  • Emerging Market Debt Rises

    Staff Writer

    Bonds issued by emerging markets countries have benefited from an improving balance of payments, as well as trade and current account surpluses since increased global...

  • CHANGES

    Staff Writer

    John Kenneth Galbraith, one of the world's most widely read economists and author of the seminal work The Affluent Society, died in late April at...

  • A Sample Vision Statement

    Staff Writer

    We are known for superior client service, which means that we are accessible to our clients, willing to be measured according to their expectations, and...

  • GROUP THINK

    Staff Writer

    The SEC said it will reduce fees on securities transactions and registrations by $1 billion in the fiscal year starting October 1, 2006. In fiscal...

  • Leveraging Marriage

    Staff Writer

    Gavin Morrissey, advanced planning consultant to Commonwealth Financial in San Diego, notes that one excellent use for life insurance in estate planning is within a...

  • NUMEROLOGY

    Staff Writer

    During the 2003-2004 election cycle, the Financial Planning Association's Political Action Committee (PAC) contributed $5,000 to federal candidates, according to Federal Election Commission. Among PACs...

  • You Are Important

    Staff Writer

    You may not doubt the value you offer clients, but two recent pieces of research should warm the cockles of your heart when it comes...

  • The Healthcare Crisis

    Melanie Waddell

    How dire is the healthcare and retirement planning situation in America? In early May the trustees for Social Security and Medicare reported that the Social...

  • The Next Investment Scandal?

    Staff Writer

    The IRS issued guidelines on 1031 exchanges to tenants-in-common properties (TIC) in 2002. Since then, billions of dollars have poured into investments loaded with promoter...

  • Behind the Numbers

    Staff Writer

    Freud famously asked, "What do women want?" but at Financial Finesse, we can answer a question more pertinent to advisors' lives: What do consumers want...

  • About the Manager

    Staff Writer

    All in all, G. Kenneth Heebner, CFA, manages $4.7 billion in four mutual funds at CGM. In addition to the CGM Realty Fund, he manages...

  • DON DEWAAY

    Staff Writer

    CEO/Owner DeWaay Capital Management 1415 Grand Avenue, West Des Moines, Iowa 50265 Phone: (515) 224-9861 Fax: (515) 224-0305 info@theprofitzone.com www.theprofitzone.com Year firm started: 1987 Number of advisors in firm: 4 AUM: $500 million-plus Compensation method: Fee-based...

  • The Best B/Ds

    Staff Writer

    Balloting for Investment Advisor's 16th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...

  • Tax Cuts Extended

    Staff Writer

    Both the House and Senate passed a $70 billion tax cut package last month that extends through 2010 a 15% tax rate on capital gains...

  • Retirement Advisor Profile

    Staff Writer

    Retirement planning in itself is already a daunting task, so imagine what it will be like in the next few years as those 76 million...

  • 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

  • What's the News?

    Staff Writer

    The old journalism joke goes that the definition of "news" is what the editor experienced that day, or week, or month. When the guy at...

  • Looking Good!

    Staff Writer

    Congratulations on the new look for Investment Advisor magazine. The added pictures, the larger type, and the layout are a real attention getter. With your...

  • A Transitions B/D

    Staff Writer

    What happens if a representative becomes disabled or passes away? "Normally the broker/dealer would retain all commissions, and the surviving spouse or beneficiary would receive...

  • Which Half Is Wrong?

    Staff Writer

    Years ago, I read somewhere (maybe it was in that scholarly journal Readers Digest) that a dean at Johns Hopkins Medical School welcomed an incoming...

  • UPGRADES

    Staff Writer

    At the Fidelity Brokerage Company's Executive Forum, President Ellyn McColgan said FBC is increasing overall technology spending to $950 million. "We've probably spent about $10...

  • Optimism Down, Hedge Inflows Up

    Staff Writer

    In early May, the research organization Spectrem Group said that the investment outlook traced by its "affluent index" (based on a survey of households with...

  • Behind the Numbers, with Liz Ann Sonders

    Staff Writer

    Charles Schwab's chief investment strategist has bumped up Schwab's stock allocation this month and notes that the increase is a result of a bullish outlook...

  • News & Products

    Melanie Waddell

    Baby boomers and seniors--don't confuse the two. By today's standards, boomers are middle aged, and they're not ready to think about retirement, nor are they...

  • Reality Check

    Bob Clark, Bob Clark

    As financial advisors, you've undoubtedly found that a healthy skepticism is essential. You may have heard me say this before, but I truly believe that...

  • Stretched

    Kate McBride

    Broker/dealers today are feeling the pull of many masters. On one side, what B/Ds can charge customers for services seems to continually decrease. Tugging at...

  • Transfer Time, Part 1

    Staff Writer

    One of the significant issues that will be faced by retiring baby boomers is how to keep their accumulated wealth within their families. Such clients...

  • How the Leaders Cope

    James J. Green

    When you ask a dozen advisors for their opinions on important issues you can expect some disagreement. Thus it was in the first IA Leaders'...

  • Listening to Margaret Mead

    Susan L. Hirshman

    No matter what stage of development your business may be in or how many clients you have, advisors depend on their individual clients for ongoing...

  • Masters at the Helm

    Melanie Waddell

    Wouldn't it be great if you could get help with your most irksome compliance or regulatory chore from say, Arthur Levitt, who was the longest...

  • In Defense of Style Boxes

    Staff Writer

    In a series of three articles published in Investment Advisor (September '05, January '06, February '06), Craig Callahan and C. Thomas Howard levy several criticisms...

  • Playing Offense With an IPS

    Staff Writer

    Imagine yourself IN the future meeting a potential buyer of your practice and standing by while one of your staff members demonstrates the efficiency of...

  • The Vision Thing

    Mark Tibergien

    Many advisors have a vision for their business, but that vision often gets blurred by the cataracts of competing priorities and short-term fixes. A common...

  • Location, location, location

    Kate McBride

    As advisors strive to diversify clients' portfolios by allocating investments across a broad range of asset types, one challenge may be finding assets that should...

  • Regulating Annuity Sales

    Elizabeth D. Festa

    The NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the...

  • Big Apple Boom

    Staff Writer

    In looking at the most promising real estate markets around the country in which he can invest, CGM Realty Fund's Ken Heebner is in a...

  • Recruiting Wars: Freedom and Culture

    James J. Green

    When independent broker/dealer reps consider joining a new B/D these days, they tell Jonathan Henschen that they "want a firm that will leave me alone--that...

  • News & Products

    Staff Writer

    At the Fidelity Executive Forum in late April, Fidelity Brokerage Company's National Financial (NF) clearing firm unit demonstrated a number of new services and products...

  • Back to Basics

    Marlene Y. Satter

    New products and strategies proliferate in the insurance industry as companies work hard to keep up with modern needs, but advisors should not lose sight...

  • Catching up with...

    Staff Writer

    Quincy Krosby is the chief investment strategist at The Hartford. In that position, she speaks regularly to the brokerage community, to investment advisors, and to...

  • Modesty Becomes Her

    Staff Writer

    Myra Salzer today pooh-poohs the idea that she has been a success in her profession, but her modesty is nothing new. In a cover story...

  • Build It and They Will Come

    Bob Keane

    Don DeWaay has a vision that he's certain will bring swarms of visitors to a field in West Des Moines, Iowa. Unlike Kevin Costner's character...

  • Sustainable Growth

    Staff Writer

    Financial planning often attracts men and women who consider themselves primarily as caretakers of their clients' well being, and only secondarily as businesspeople. Many of...

  • The Interpreter

    Staff Writer

    Myra Salzer is a modest person. While she has been an advisor since 1983 (her first career was as a chemical engineer), she hints that...

  • Consider the Clients

    Mark Tibergien, Julie Littlechild

    Based on the number of queries that Moss Adams and Advisor Impact get each week from interested buyers, there is a tremendous demand for advisory...

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