Investment Advisor-March 2007

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  • What are your peers doing to prepare?

    James J. Green

    Advisors are well aware of the coming retirement boom, and indicate that they feel pretty confident in their abilities to handle the investment issues that...

  • Using Internal Marketing

    Mark Tibergien

    Some of the best internal marketing efforts use systematic client surveys as their catalysts. Firms that use Dalbar, the Client Audit, or locally produced, professionally...

  • News & Products, March 2007

    Staff Writer

    A new report by the Vanguard Group has found that Americans aged 40 to 69 expect to gradually ease into retirement, with work playing an...

  • Silver Lining

    James J. Green

    The one-time "Sheriff of Wall Street," is now at loggerheads with the legislative leaders in Albany. Dubya is now playing nice with Nancy Pelosi, of...

  • How Lucky Can You Get?

    Staff Writer

    There's no such thing as "dumb luck," says psychologist Richard Wiseman, professor of Public Understanding of Psychology at the University of Hertfordshire in England. According...

  • Behind the Numbers, with Gary Shilling

    Kara P. Stapleton

    "I think the economy is in trouble," says Gary Shilling, portfolio strategist for A. Gary Shilling & Co. "Housing is going to sink the economy...

  • The Purpose-Driven Retirement

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    There are some baby boomers who do not equate retirement only with playing golf and traveling. There are some boomers who want to do more...

  • Just Like You

    James J. Green

    When is a directory (as the one that follows) like an obituary? When it attempts to list in a few short lines the life story...

  • From Morningstar, Select Stock Baskets

    Kate McBride

    Advisors looking at separately managed accounts may want to examine a new offering from Morningstar Investment Services--Managed Portfolios Select Stock Baskets. Available only through advisors, the...

  • Want Less Risk? Try Hedge Funds

    Staff Writer

    The risk associated with hedge funds and hedge fund-like mutual funds can in some cases be substantially lower than that attached to common types of...

  • Heart of the Matter

    Staff Writer

    As one might expect, an advantage of working with the Private Wealth Management unit at The Hartford is the ability to gain access to "high-touch"...

  • An Independent Voice

    Kate McBride

    The Financial Services Institute (FSI) kicked off its annual conference at Disney World in Orlando, Florida, on January 29 with the group's new chair, John...

  • Investing Luck: Is It Chance or Skill?

    Staff Writer

    In my opinion, skill and chance both play a role in producing exceptional portfolio performance. Where investment advisors can really add value is in using...

  • Growth From Adversity

    Staff Writer

    Most of us have learned to separate the personal from the business aspects of our lives, even though advisors are constantly dealing with clients' most...

  • How the Affluent Feel

    Kara P. Stapleton

    The New Year did not change the outlook of the affluent significantly, according to the Spectrem Group's research. The Spectrem Affluent Investor Index, which measures...

  • Catching up with... Tim Meyer

    Bob Keane

    An increasingly important investment vehicle for many advisors looking to capture all or part of the market while keeping expenses to a minimum has been...

  • Alternatives to Annuities

    Staff Writer

    While there are many ways to build retirement portfolios, some advisors say that building an income-producing portfolio of taxable bonds is old news: low interest...

  • Asset Allocation, March 2007

    Staff Writer

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

  • Myths Vs. Reality

    Staff Writer

    Myth: Account aggregation is just screen scraping. Reality: Screen scraping refers to the gathering of data via HTML. Account aggregators rely on pure HTML for...

  • 401(k) Plans' Dirty Little Secret

    Staff Writer

    Among the 50 largest providers of 401(k) plans, approximately one third are insurance companies. These firms, and the salespeople that represent them, have mastered the...

  • Global Bonds Go Mainstream

    Staff Writer

    Foreign bonds can form an important portion of an investor's diversified portfolio since they exhibit such low correlations with both U.S. stocks and U.S. bonds....

  • News & Products, March 2007

    Kara P. Stapleton

    National Financial announced February 1 that it is expanding its alliance program by adding Fetter Logic Inc. to offer a suite of data management tools...

  • How to Capture the Growing Retiree Market

    Staff Writer

    Financial planning has historically focused on helping people achieve major financial goals, such as sending children to college or retiring comfortably. But what about retirees, who,...

  • Signing Up "Free Agents"

    Staff Writer

    About Olivia Mellan's January 2007 column "Retiring Retirement," a couple of points. Concerning the common situation where there is a disparity of plans between spouses,...

  • The Community Property Nine

    Staff Writer

    There are nine states where marital property laws are governed by community property rules, a scheme derived from Spanish law under which married persons are...

  • The Registration Numbers

    Staff Writer

    Here's a breakdown of how, and where, advisors and brokers are registered. The numbers were presented by Melanie Lubin, Maryland's Securities Commissioner, at the ALI-ABA...

  • Confidence Builder

    Staff Writer

    All entrepreneurs share a common vision. Although every entrepreneur is a unique individual with unique talents and aspirations, there's one vision that all entrepreneurs share:...

  • Rich Spouse, Poor Spouse

    Staff Writer

    One of the tenets of estate planning for married couples with assets over $4 million is to optimize both spouses' estate tax exemptions through the...

  • Getting It Together

    Staff Writer

    Online account aggregation, the process of collecting positions, balances, and transactions from Web sites and online sources for multiple accounts, and presenting the combined statement...

  • Small Picture, Big Picture

    James J. Green

    Mitch Kramer, principal of Fluent Financial in Dallas, is like many advisors. He understands the business world but is equally focused on serving his clients,...

  • Leading the Way

    Melanie Waddell

    The biggest issue these days for investment advisors and financial planners is retirement planning. If you ask retirement planning professionals what the biggest retirement issues...

  • Beyond the Numbers

    Angie Herbers

    I just finished reading the 2006 Moss Adams Financial Performance Study of Advisory Firms. It's undeniably the most comprehensive annual look at the nuts and...

  • Monopoly Game

    Kate McBride

    Will broker/dealers be paying more for market data from now-public securities exchanges? Who owns the market data that is created by market makers and broker/dealers...

  • Managing Fear, Maintaining Your Edge

    Susan L. Hirshman

    To remain successful, we must stay ahead of the curve. Maintaining an edge with the affluent community means knowing how to discuss alternative investments as...

  • Do You Believe in Magic?

    Olivia Mellan

    Luck surrounds us in March, as garlands of lucky shamrocks festoon shops and saloons. To be sure, many of us without a drop of Celtic...

  • Refer Madness

    Mark Tibergien

    Success breeds success; if you're successful, clients will find you. That bit of wisdom, which has traditionally held true for the advisory industry, is losing...

  • More Than Managing Numbers

    Bob Keane

    If it has anything to do with money, Mike Tucci and Kristine Porcaro are able to handle it for their clients. Their firm, Lexington Wealth...

  • The Zen of a Successful Practice

    Bob Clark, Bob Clark

    As you undoubtedly know better than I, there's a growing army of consultants offering to help advisors with everything from recruiting to branding to client...

  • States' Rights

    Melanie Waddell

    As part of a multi-pronged legislative agenda for 2007, state securities regulators plan to lobby hard to have equity-indexed annuities defined as securities, ensure the...

  • March 2007

    Kara P. Stapleton

    Charles Schwab has launched Schwab Advisor Portfolio, a way for advisors who work with Schwab Institutional and TPAs to customize the investment choices, including Schwab's...

  • High-Level Security

    Marlene Y. Satter

    The wealthy in the U.S. have been riding a steadily and swiftly rising star. While the high-net-worth segment of the population--usually defined as those having...

  • March 2007

    Staff Writer

    UBS announced the appointment of Michael Roberts as managing director and head of UBS Trust Services, which comprises both personal and corporate trust businesses. UBS...

  • About the manager

    Kate McBride

    London-based Gonzalo P??ngaro is VP and an investment committee member for T. Rowe Price International Funds, Inc., and VP and portfolio manager for T. Rowe...

  • Lexington Wealth Management

    Staff Writer

    1666 Massachusetts Ave. Lexington, Massachusetts 02420 Phone: 781-860-7745 130 West 42nd Street, Suite 904 New York, New York 10036 Phone: 212-697-3930 Web site: www.lexingtonwealth.com e-mail: info@lexingtonwealth.com Number of advisors in firm: 6 Number of...

  • March 2007

    Staff Writer

    NASAA, the state securities regulators association, reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of...

  • The No-Load Alternative

    James J. Green

    "People want a check that won't run out," says Mitch Politzer matter of factly, in discussing the needs of retirees. After all, he says, retirement...

  • Overseas Still Appeals

    Kara P. Stapleton

    The grass looked greener around the world again in 2006, as investors stayed enamored of foreign markets. Strategic Insight reported that international equity funds posted...

  • Longevity Risk and VAs

    James J. Green

    "The longevity risk factor is an enormous one for this industry," says Art Kopf, an industry veteran who is a senior marketing services representative for...

  • Uncle Sam May Take His Cut

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Were private annuity trusts (PATs), popular tools for estate planning in retirement, just a flash in the pan, now that the Internal Revenue Service (IRS)...

  • Your Partners' Role In Retirement Planning

    James J. Green

    "Advisors have been in the retirement business since day one," admits Charles Goldman, but a "giant psychographic shift" has occurred among boomer preretirees who are...

  • Native Speaker

    Kate McBride

    For investors who want the local flavor of investing in a region outside the U.S., it is necessary to have a sophisticated guide who understands...

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