Investment Advisor-May 2004

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  • The Bond King's New World

    Staff Writer

    In the world of bonds, there is PIMCO, and there is everyone else. Once a boutique fixed-income shop, opened 33 years ago in the placid...

  • Rollin' Along

    Staff Writer

    Planners who are contemplating a switch from commissions to fees tend to sound like people about to start a strict new diet: This will probably...

  • The Cure for Advisor's Block

    Staff Writer

    You've just been asked to compose a speech, white paper, brochure, or article, and you have limited time. Most busy professionals just dive into the...

  • Disciples of Discipline

    Staff Writer

    As an advisor, one of the most important responsibilities you have--maybe the most important--is to ensure that your clients avoid making mistakes that will devastate...

  • Prepare Your Clients for the Worst

    Staff Writer

    It's an ordinary morning and you're on your way to work when the drive-time shock jock is abruptly interrupted by a news bulletin: A commuter...

  • John Smartt

    Staff Writer

    John M. Smartt, Jr., CPA 2001 Partridge Run Lane Knoxville, Tennessee 37919 Phone and fax: 865-588-4159 johnsmarttcpa@yahoo.com Year practice began: 1993 Number of advisors in office: 1 Number of clients: 47...

  • Equity Index Funds, But With a Twist

    Staff Writer

    What's a bond firm doing in the stock market? Making a nice profit for investors, that's what. By combining stock index futures with its bond...

  • Strategic Thinking

    Mark Tibergien

    Every advisory practice is faced with conflicts and pressures, opportunities and choices. To focus on providing advice to 401(k) plans, however, it's important that you...

  • How Pimco is Beating the Market

    Staff Writer

    in Bonds... Year-to-Date 1-Year 3-Year 5-Year 10-Year PIMCO Total Return Fund* 2.70%6.20%8.35%7.98%8.19% Style peers 2.314.426.236.176.44 Merrill Lynch corporate & government master index 3.036.037.917.537.63 ...and...

  • Transition Game

    Staff Writer

    One of the more unique players in the transition-to-fee field is Focus Point Solutions, a firm run by Brent Hicks in Portland, Oregon. Founded in...

  • T. Rowe Price Growth Stock Fund

    Bob Keane

    800-638-5660 o www.troweprice.com Ticker: PRGFX Managers: Robert Smith Manager's tenure: 7 years Fund started: April 11, 1950 Min. initial investment: $2,500 Load (front-end): 0.00% 12(b)-1 fee: 0.00% Net assets: $6.0 billion P/E ratio:...

  • About the Manager

    Bob Keane

    Robert W. Smith is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Associates, Inc., and T. Rowe Price International, Inc., and...

  • A Matter of Principles

    Staff Writer

    Remember the old saw that timing is everything? In looking back at my personal journey of investing and advising clients on investing, I can testify...

  • Be Tax Sensitive, Not Tax Driven

    Staff Writer

    Much has been written about the new tax rates promulgated by last year's tax bill, but what impact have those rates had on investors, the...

  • The IA 25

    staff Writer

    Who are the people who will most affect the way you practice your profession in the years ahead? We humbly submit the 2004 IA 25,...

  • Structural Integrity

    Staff Writer

    On a typical weekday afternoon when most planners are ensconced in their swivel chairs and swimming in spreadsheets, you'll find advisor John Smartt somewhere else:...

  • Protect Yourself

    Staff Writer

    The NASD statistics are plain: The increasing volume of filed arbitration customer claims highlights the importance of maintaining up-to-date and complete customer account files. While...

  • Safe and Sound

    Staff Writer

    In the past, sensational tragedies like kidnapping, stalking, and home invasions seemed to happen to someone else. Following the events of September 11 and some...

  • For the Long Term

    Bob Keane

    When it comes to mutual fund management, Bob Smith's approach could easily be summed up as "Slow and steady wins the race." Disdainful of those...

  • Playing by the SEC's Rules

    Staff Writer

    Compliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...

  • They're Up In Arms

    Melanie Waddell

    Fur is flying in Louisiana. Six independent insurance agents in the state are suing ING because they say the company is forcing them to sell...

  • Happily Ever After

    Staff Writer

    Have you ever asked a client what they would like to do after they retire, and had them say something like, "I don't know, but...

  • Tackling the Retirement Market

    Mark Tibergien

    It's no secret that advisors who have concentrated on the 401(k) business have had a pretty good run. Since 1990, defined contribution plan assets have...

  • It's All in the Approach

    James J. Green

    Kip Gregory's latest book--Winning Clients in a Wired World--is also his first, but after 20 years of teaching others how to make technology work, particularly...

  • Impersonal Finance

    Staff Writer

    In this brave new world of 2004, it's generally assumed that catering to gender differences around money is pass?. Worse yet, it's not PC. Everyone...

  • A Perceived Threat

    Staff Writer

    A nationwide survey of more than 300 people conducted by Impulse Research of Los Angeles in 2001 found that families feel that home invasion, child...

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