Investment Advisor-May 2008

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  • Got Unhappy Clients?

    Thomas D. Giachetti

    The markets are in decline and you and your peers may very well be feeling a bit nervous. And, if in this environment even professional...

  • Larry Nakamura

    Staff Writer

    President Torrey Capital, Inc. 5752 Oberlin Drive, Suite 106 San Diego, CA 92121 Phone: 858-952-5721 E-mail: ln@torreycapital.com Web site: www.torreycapital.com Year firm founded: 2004 Number of clients: 45 families Assets under management: $25 million Client...

  • CFP's DEC Stepping Down

    Staff Writer

    At its January 17-18, 2008 meeting, the Directors of the CFP Board of Standards unanimously decided to delegate to the CEO the authority to "appoint...

  • Carbon Commerce

    Kara P. Stapleton

    Carbon emissions trading, whereby companies and individuals can buy and sell carbon credits with broker/dealers facilitating the transaction, is growing, according to a recent TowerGroup...

  • Embracing Change on Our Own Terms

    Staff Writer

    In Washington there is one constant: Change. Though change is not always comfortable inside the Beltway, the reactions of those affected are mostly the same,...

  • A Healthy Portfolio?

    Staff Writer

    Healthcare has traditionally been thought of as a defensive sector, since even when economic conditions get bad, people will still take care of their health. However,...

  • Time of Reckoning

    Mark Tibergien

    By definition, "rules of thumb" presume that nothing will change. Real estate values will always go up. Auction rate debt will always be liquid. Advisory...

  • How It Will Affect You

    Staff Writer

    Following are the Treasury Department's intermediate and long-term regulatory restructuring goals that would directly affect investment advisors and broker/dealers. INTERMEDIATE Insurance Establish a federal insurance regulatory structure...

  • It's All Personal

    Staff Writer

    What sets independent advisors apart is the personal advice you give to clients. Your technology tools may be great, your investment strategy may be a...

  • Risk Is Remote When Managed Properly

    Staff Writer

    Another way that Larry Nakamura and his clients benefit from the real estate market is through a second company, Torrey Capital Mortgage Fund, essentially a...

  • IPO Alternatives: Reverse Mergers

    Jeff Joseph

    The challenging initial public offering market has given rise to a new trend among small private companies. Businesses that have been experiencing difficulty in going...

  • Asset Allocation, May 2008

    Staff Writer

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

  • NEWS & PRODUCTS, MAY 2008

    Staff Writer

    According to recent data released by the Employee Benefits Research Institute (EBRI), for fiscal year 2009, employee benefits-related tax expenditures ($347.9 billion) will account for...

  • Working and Retirement

    Staff Writer

    His passions for advising his aging clients drew Kirk Greene of Greene Wealth Management in Seattle to psychologist and gerontologist Dr. Ken Dychtwald, author of...

  • DIY Clearing, Made Easy

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Although the idea of outsourcing clearing and settlement may sound new, its premise is exactly the same as in any other area of business, and...

  • Introducing the Wealthy to Roth IRAs

    Melanie Waddell

    Advisors take heed: the income limit for those who can convert their retirement holdings from a traditional IRA to a Roth IRA (now applicable to...

  • Group Think

    Staff Writer

    The University of Kansas School of Business awarded 1st Global's Tony Batman with its Distinguished Alumni Award on April 10. Batman received his Bachelor of...

  • Ahead of the Game

    Kara P. Stapleton

    Many affluent Americans are addressing economic uncertainty by modifying expenses in the short term, and maintaining retirement investing for the long term, according to new...

  • How's It Playing in Peoria?

    James J. Green

    The volatility that has plagued the markets and the economy sparked by the suprime mess has played havoc with the psyche of both advisors and...

  • Building Healthy Online Relationships

    Bob Clark, Bob Clark

    Many years ago, Worth magazine sent me to the Professional Publishing course at Stanford University. It offered seminars by many leading luminaries in the magazine...

  • Whither Client Loyalty?

    Staff Writer

    Are you certain that your clients will follow you where'er you roam? According to new research by Spectrem Group, clients may not be as steadfast...

  • Death and Taxes Respect No Borders

    Lewis Schiff

    The long-time clients--a Boston-area couple in their early sixties--plan to retire soon from their respective Fortune 100 executive positions and spend most of their time...

  • Retirement Risk Redefined

    Staff Writer

    In a story as poignant as it is telling, an Illinois wealth manager related that he and his two sisters must now provide for their...

  • Changes in Charitable Compliance

    Susan L. Hirshman

    Warning! Warning! Do not drive or operate any machinery or heavy equipment while reading this article. The reading of this article may cause sudden dizziness...

  • Stepping Up

    Angie Herbers

    A young financial planner at one of my client firms sent an e-mail to his employer, saying that he was concerned about the growing volume...

  • What Lurks Beneath

    Kate McBride

    When two of Bear Stearns's highly leveraged hedge funds that reportedly had invested in subprime loans imploded last summer, the firm stepped in with $1.6...

  • Seismic Shift

    Melanie Waddell

    Treasury Secretary Henry Paulson's Blueprint for a massive overhaul of the financial services regulatory structure, which he unveiled March 31, is already sparking much debate...

  • Tangible Diversification

    Bob Keane

    For an active investor, the turmoil on the world's stock exchanges that we've seen in recent months can produce a kind of virtual motion sickness....

  • No Mimicry Here

    Kate McBride

    It's times like these when clients may ask advisors all kinds of questions; they may ask what kinds of investments have the potential to do...

  • Making Volatility a Retiree's Friend

    Elizabeth D. Festa

    J. Michael Martin's goal for his clients, about 80% of whom are retirees or those getting ready to retire, is not to have a negative...

  • Recovery Room

    Marlene Y. Satter

    This is a story about a threat to your clients of which you may not be aware, but that you can do something about. It...

  • Watch List

    James J. Green

    Over the past five years, the focus has shifted for the independent advice community, a shift that has been reflected in the IA 25, our...

  • Upgrades

    Staff Writer

    Fidelity Investments launched the Fidelity 130/30 Large Cap Fund, which will be managed by Keith Quinton, using a combination of Fidelity's research and fundamental quantitative...

  • NEWS & PRODUCTS, MAY 2008

    Staff Writer

    UBS Global Asset Management announced that its U.S. Pension Fund Fitness Tracker, a quarterly estimate of the overall health of a typical U.S. defined benefit...

  • Changes

    Staff Writer

    New York Life Insurance Company announced that John Kim has been named president and CEO of its investment management arm, New York Life Investment Management...

  • Quittin' Time?

    Olivia Mellan

    It's official: the first baby boomer, Kathleen Casey-Kirschling, is on Social Security. There's going to be a long line behind her--USA Today reports that an...

  • Insurable Interest

    Staff Writer

    One of the issues surrounding stranger-oriented life insurance, is that investors providing life settlements in exchange for being named beneficiaries have no insurable interest in...

  • Donohue on the Rand Report & Paulson

    Melanie Waddell

    The SEC has a number of initiatives on its plate this year that could make advisors' lives easier, or not. For instance, advisor regulation will...

  • If A Stranger Calls

    Marlene Y. Satter

    Late in 2007, no less a personage than TV celebrity Larry King made headlines with a financial problem that's becoming increasingly common. In November, King...

  • Behind the Numbers, Gail Dudack

    Kara P. Stapleton

    "It has been my assumption that whether or not we technically avoid a recession, we are in something that feels enough like a recession," explains...

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