Investment Advisor-November 2005

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  • Guiding Light

    Staff Writer

    According to various studies, at least half of all defined contribution plan participants are uninterested in or unwilling to take part in the financial planning...

  • It's All About Layers

    Staff Writer

    Registered investment advisors are subject to regulation and oversight by the Securities and Exchange Commission (SEC), and are subject to the provisions of the Investment...

  • Pension Reform Still Alive on the Hill

    Staff Writer

    While members of Congress concede that overhauling Social Security is off the table this year, industry officials are optimistic that Congress will finish this year...

  • Behind the Numbers, with Liz Ann Sonders

    Staff Writer

    At Schwab's Impact conference in september, the company's chief investment strategist was rather upbeat on equities, noting that "It's a good sign that people are...

  • Looking Back

    Staff Writer

    Agood idea eight years ago is pro- bably still a good idea today. That's certainly the case with the Roth IRA which was covered in...

  • Follow-Up on Fiduciaries

    Staff Writer

    Michael Sandifer raised some interesting points in his October letter. Acting like a fiduciary and agreeing in writing to serve in a fiduciary capacity are...

  • Mid-Cap Value Funds Tap Rich Vein

    Staff Writer

    Mid-cap stocks enjoy the best of both worlds: They possess the strong liquidity and well-established businesses of large-cap companies, and the high growth potential and...

  • Coaching Credentials

    Staff Writer

    Here are the three designations awarded by the International Coach Federation (ICF) and each designation's requirements: Associate Certified Coach (ACC) 60 hours of coach-specific training 250 hours of...

  • You Get What You Pay For

    Staff Writer

    According to the ICF, the average cost of a coach in the U.S. is about $150 an hour, although some don't charge by the hour...

  • Funds of ETFs

    Staff Writer

    Most advisors who have created their own mutual funds use an asset allocation approach, moving monies among different markets in order to enhance return and...

  • The Roles of Alpha and Beta

    Staff Writer

    You know what alpha and beta is in investing: Beta is the primary source, and often the exclusive source, of returns in the traditional long-only,...

  • GAO Questions SEC's Oversight of Mutual Funds

    Staff Writer

    The Government Accountability Office (GAO) recently performed a study of the Securities and Exchange Commission's new risk-based examination of mutual funds, and found that the...

  • At the Podium, Not on a Pedestal

    Staff Writer

    While women may be having a hard time gaining traction within the wirehouses, in the independent advisor world they already play prominent roles in firms,...

  • About The Manager

    Staff Writer

    In addition to managing the $900 million portfolio of the Eaton Vance Utilities Fund, Judith Saryan is vice president at Eaton Vance Management, in Boston,...

  • Is Real Estate Going Ka-Boom?

    Staff Writer

    As the debate over the housing market heats up, you can't help but see the similarities to the tech bubble of 2000. I base this...

  • Joseph A. DiGangi, Jr.

    Staff Writer

    Everest Financial & Settlement Consulting, LLC 1716 Cherry Avenue, Suite 100 o Easton, Pennsylvania 18040-2154 610-559-7696 Joseph_DiGangi@hotmail.com Year Practice Began: 2002 Years of financial planning experience: 22 Years of settlement consulting...

  • Seven Deadly Sins

    Staff Writer

    Many investors know what they should be doing, like saving for retirement and their children's education, diversifying and rebalancing their portfolios, and building a retirement...

  • Take Your Pick

    Melanie Waddell

    As investment advisors increasingly play a larger role in the distribution of retirement plans, retirement plan providers and the companies that partner with advisors to...

  • Tear It Down to Build It Up

    Mark Tibergien

    The financial advisory business is in the midst of an important transition: Advisors are starting to talk about the need to raise the bar for...

  • Back to Square One

    Bob Keane

    More and more planners, according to the latest surveys, want to be wealth managers, the type of advisor who helps high-net-worth individuals preserve their wealth...

  • Raising the Bar

    Staff Writer

    It is a challenge for a firm to grow, hire new employees, and assume greater responsibilities while offering a wider range of client services. We...

  • Boom Time

    Bob Clark, Bob Clark

    Have you noticed that virtually everyone in financial services today--from consultants to product folks--is clamoring to tell you how to grab a piece of the...

  • Wising Up

    Angie Herbers

    My newest client is one of those advisors who would generally be considered wildly successful. He has more clients then he can handle, manages some...

  • Gender Gains

    Kate McBride

    There is no question that women are working everywhere in the investment business, as advisors, planners, traders, analysts, economists, investment strategists, portfolio managers, company presidents,...

  • Bright Idea

    Kate McBride

    Once upon a time, utility companies were the go-to investments among advisors who wanted something "safe and reliable" for widows and orphans. Utilities were regulated...

  • Posing the Proper PMS Questions

    Staff Writer

    As an investment advisor, there are three pillars that support your practice: portfolio management, distribution, and operations. One support--operations--is uniquely tied to client service. Since...

  • Well Connected

    Olivia Mellan

    As the financial planning world expands, it's more important than ever to be able to network productively. Connecting with other professionals can lead to all...

  • A New Era in Retirement Planning

    Staff Writer

    There were more than 400 new tax rules in the Economic Growth and Tax Relief Reconciliation Act of 2001 (EGTRRA), and most went into effect...

  • Round Two of Market Timing

    Melanie Waddell

    By October 12, 2006, mutual fund companies have to comply with the Securities and Exchange Commission's mutual fund redemption fee rule, Rule 22c-2. The rule,...

  • Build Your Own

    Ben Warwick

    Open-ended funds are so five minutes ago. Through the countless articles that slam such traditional investment vehicles in favor of the more liquid and less...

  • Good to Give

    Bob Keane

    To practice charity has been considered virtuous and admirable in virtually every culture and religion since the dawn of civilization. Everyone knows, too, that it's...

  • Putting Women in Their Place

    Staff Writer

    One of the most popular sessions at the annual Schwab Impact show is the "townhall" meeting at which advisors can ask questions of the executives...

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