Investment Advisor-May 2005

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  • Taxing Time

    Marlene Y. Satter

    The recent tax season has been busy for all concerned. Even the IRS has industriously issued rulings on questions facing taxpayers and, by extension, their...

  • Excuse Me, B/Ds Do Supervise RIAs

    Staff Writer

    I enjoy reading Bob Clark's articles. However, I was surprised to read something in the April issue's "The Dale Brown Gambit." That article said [referring...

  • Taxing Locations

    Staff Writer

    In light of IRS Revenue Procedure 2005-24, a word to attorneys preparing trust documentation could forestall trouble down the road. That's because any trusts created...

  • Living in Harmony

    Staff Writer

    Our financial services family is currently divided. Lines have been drawn in the sand. It may not rise to the level of violence, but there's...

  • Fidelity's Separate Account Investment

    Staff Writer

    Many independent broker/dealers, banks, and credit unions provide fee-based services for reps through third-party separate and mutual fund wrap providers such as Morningstar, Lockwood, AdvisorPort,...

  • The Benefits of Registration

    Staff Writer

    As hedge fund managers prepare to register themselves as investment advisors with the Securities & Exchange Commission, a number of tantalizing options for raising assets...

  • Give 'em Lifecycle Funds

    Staff Writer

    The 15th annual Retirement Confidence Survey, released in April and performed by Mathew Greenwald & Associates and the Employee Benefit Research Institute (EBRI), found that...

  • Looking Back

    Staff Writer

    The transition of advisors to fee-only planning has been a regular Investment Advisor theme for many years. In December 1990, Bob Clark shared some of...

  • Evaluating a Test or Publisher

    Staff Writer

    Ask the following questions of anyone who proposes to sell your organization a program for pre-employment testing, or assessment for personal development. Has your...

  • Quotations from Chairman (and CEO) Chuck

    Staff Writer

    The IA 25 is listed in alphabetical order--there is no intended or implied ranking of its members. One person, however, holds a special place on...

  • For Sale: 500 Advisory Firms

    Staff Writer

    Here's an eye-popping prediction: more than 500 fee-only financial advisors will sell their practices over the next five years, according to Tiburon Strategic Advisors in...

  • On the Bubble

    Staff Writer

    The diversity of interests and geography and business models exhibited by advisors makes it a daunting task to choose just 25 "most influential" people. In...

  • The Case for Mid-Cap Growth

    Staff Writer

    Mid-cap growth stocks tend to provide higher growth rates and lower valuations than larger-cap equities, while enjoying less volatility and more liquidity than their smaller-cap...

  • The Side of the Angels

    James J. Green

    Our cover story this month--the IA 25--is a fairly big undertaking for the relatively small Investment Advisor editorial staff. It takes months and much agita...

  • The Clean Alternative

    Staff Writer

    You're probably quite familiar with a previously alternative investing option called socially responsible investing which went mainstream some time ago (see page 94 for a...

  • A Busy Woman

    Staff Writer

    Carolyn Kaufman began her career in the financial planning world in 1978 and received her CFP designation a year later. In 1984 she established her...

  • Carolyn Kaufman

    Staff Writer

    President and CEO, Prim Advisors Director, Prim Capital Corp. BP Tower Suite 2500 200 Public Square Cleveland, Ohio 44114 Phone: 216-830-1111 Fax: 216-830-1120 Web address: www.primcapital.com E-mail: ckaufman@primcapital.com Year practice began: 1998 (sports management company...

  • About The Manager

    Staff Writer

    Christopher H. Brown grew up around the Pax World Balanced Fund. His father, Tony Brown, was the fund's original portfolio manager, and when Tony retired...

  • THE GLUCK REPORT, Part II: Going to the Source

    Staff Writer

    Edward Hoffman wrote the book on psychological testing at work. Hoffman is a New York-based licensed psychologist and organizational consultant specializing in testing, an adjunct...

  • Staying Grounded

    Staff Writer

    Flashy cars, expensive homes, and lucrative endorsement deals are the stuff of everyday life for top-tier professional athletes. Children dream of growing up to be...

  • Change of Heart

    Staff Writer

    Is change really possible? Chances are good that nearly every week you see clients who want or need to change themselves or their behavior. Why...

  • THE GLUCK REPORT, Part I: Testing, Testing

    Staff Writer

    Managing staff at an advisory firm isn't easy. It's not like solving a financial problem: You're dealing with people, not hard numbers. Yet advisors who...

  • A Proper Fit

    Staff Writer

    Separate accounts are a useful tool in managing client assets, but they have been oversold by many firms. It's important to know exactly what a...

  • The Promise of Micro Caps

    Staff Writer

    When it comes to investing, few asset classes evoke more enthusiasm and consideration than micro-cap stocks. While the historically strong performance of micro-cap stocks make...

  • Preserving the Legacy

    Staff Writer

    Although the estate tax may be repealed or significantly changed in the near future, don't expect those changes to last forever. Rising government deficits and...

  • Staying Balanced

    Bob Keane

    The germ of the socially responsible investing (SRI) movement sprouted from a letter that Luther Tyson and Jack Corbett, who worked on peace, housing, and...

  • An SMA for 401(k)s

    Melanie Waddell

    Envestnet Asset Management recently launched ENVEST(k), a turnkey platform for qualified plans that allows participants with smaller account balances to invest in separate accounts. This is...

  • Road Less Traveled

    Bob Keane

    The world of alternative investments has become more important to a number of advisors for one simple reason--traditional investments don't provide the desired return or...

  • Beware the Credit Unions

    Melanie Waddell

    Have you noticed what your local credit unions are up to lately? They're becoming more sophisticated by the minute, with many of them offering investment...

  • The IA 25

    staff Writer

    Groucho Marx once famously proclaimed that he wouldn't care to join any club that would include him as a member. So what are we to...

  • The Next Step

    Melanie Waddell

    When considering a transition from commissions to fees, the first question for planners is usually something along the lines of "How much money am I...

  • Two to Tango

    Mark Tibergien

    Recently, many of my columns have focused on the need to create critical mass in your practice, to build an environment in which motivated people...

  • With Friends Like These....

    Bob Clark, Bob Clark

    A friend recently told me about a meeting he had with his firm's custodian. It was with the custodian's representative for its referral program, and...

  • Keeping Them On Your Side

    Thomas D. Giachetti

    You run a financial advisory shop with a roster of happy and satisfied clients. You think their loyalty is to your firm and that they'll...

  • Behind the Numbers, with Gary Shilling

    Staff Writer

    Economist and advisor Gary Shilling has never been afraid to chart his own course, as this month's allocation aptly demonstrates. "I think we're looking at...

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