Investment Advisor-October 2006

Issue Gallery ›

  • NASD Notice 06-38

    Staff Writer

    Download a copy of the notice NASD sent to its members in August here.

  • SRI and Hedge Funds

    Staff Writer

    Socially responsible investing (SRI) assets have been growing at a significantly faster rate than total assets under professional management, particularly among non-profit and faith-based organizations,...

  • ETFs for 401(k)s Are OK

    Melanie Waddell

    Now that the Pension Protection Act has become law, plan sponsors should refrain from using money market and stable value funds as default options in...

  • 'Tis the Season(ality)

    Staff Writer

    Attempts to predict the direction of the stock market run the gamut from the sublime to the ridiculous. Besides the usual suspects of fundamental and...

  • News & Products

    Staff Writer

    How sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS, and the approximately 340 reps in those 51 branches are being...

  • What Matters Most

    Kate McBride

    When we asked reps to rate their broker/dealers in the 16th annual IA Broker/Dealer of the Year Poll, reps got to vote in 15 categories....

  • Upgrades

    Staff Writer

    Forty-three percent of small businesses with fewer than 20 employees say cost is the biggest hurdle preventing them from offering a 401(k) plan to workers,...

  • Groupthink

    Staff Writer

    The National Association of Personal Finance Advisors has elected its National Board for 2006-2007. Among the Board's priorities is further development of the Focus on...

  • Numerology

    Staff Writer

    According to a recent U.S. Census Bureau report, the number of Americans covered by a government health insurance plan as of 2005 was 38.1 million,...

  • Remember To Pay The Mortgage

    Staff Writer

    Mortgage-backed securi-ties, a somewhat overlooked, though very large, section of the fixed-income universe, are becoming more attractive to investors in light of a softening housing...

  • Strategies and Strategists

    Staff Writer

    In his IA Leader's Interview in the October 2006 issue of Investment Advisor, Gene Balliett of Balliett Financial Services in Winter Park, Florida, discusses how...

  • Fungos and Legacy

    Staff Writer

    On a beautiful Saturday this past May I sat at a baseball field in Raleigh, North Carolina, watching 40 or so youngsters participate in a...

  • Asset Allocation Report

    Staff Writer

    To learn this month's recommended asset allocations of Investment Advisor's panel of distinguished economists and money managers, click here. Behind the Numbers, with Gary Shilling "I think...

  • Taking It to The Hill

    Melanie Waddell

    Independent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September...

  • Shrinking the Software Pond

    Staff Writer

    After a seven-month process, from roadshow to handshake, Emerging Information Systems Inc. (EISI), maker of NaviPlan financial planning software, closed the deal on its acquisition...

  • Acquiring Affluent Clients Through CPAs

    Staff Writer

    Networking with CPAs may help expand your business. Local CPAs may have wealthy clients and likely don't offer services that compete with your business. Likewise,...

  • News & Products

    Staff Writer

    Offering a much-needed solution to traditional variable annuities that levy high fees, Ameritas Direct has launched a no-load variable annuity that boasts no commission, sales...

  • Get Your Arms Around It

    Staff Writer

    In a conversation late in August that formed the basis for an interview in this issue, I asked Jerry Miccolis, a CFA, CFP, and an...

  • The Young & Not-So-Young

    Angie Herbers

    This past August, the Financial Planning Association gave us a glimpse of the future leaders of the profession by hosting its first-ever NexGen 2006 conference. The...

  • Catching up with...

    Melanie Waddell

    With 20 years of investment management experience under his belt, Tom Grzymala is on a mission to see that "the full meaning and spirit of...

  • Advancing the Conversation

    Staff Writer

    Death. As a topic of conversation, it is obviously not a favorite for most people. Yet death, and its profound and multi-layered impact on unprepared...

  • The ABCs of IOUs

    Mark Tibergien

    Most financial advisors would prefer to sell their practice to their junior associate or associates. Yet in-house deals are notoriously hard to put together. For...

  • Life Support

    Staff Writer

    You don't have to be told: advisors are a busy lot and easy access to investment-related information is an important matter. In fact, according to...

  • What's Behind Us Is the Future

    Staff Writer

    Any serious discussion about the management of wealth or how to invest should begin with a basic understanding of human behavior, of when and why...

  • Stepping Into The Great Wide Open

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    The concept of open architecture at banks that have a private wealth management capability is not new. For a number of years now, private banks...

  • Light Shiner

    Staff Writer

    "My major crusade at the moment is absolute returns," barks Gene Balliett over the phone in describing his current passion. He's been down other roads...

  • Seeking Liquidity

    Staff Writer

    Despite the enormous potential the life settlement market offers, experts are not sure how quickly it will get going. There has been too much confusion...

  • Southern Exposure

    Staff Writer

    The Canadians are coming, the Canadians are coming! Spurred by a strong currency and a mature domestic market lacking in significant growth opportunities, some of Canada's...

  • Standing Tall

    Kate McBride

    For as long as there have been things to invest in, from seeds and livestock to railroads and cars, from the telephone and electric utilities...

  • Core Diversification

    Kate McBride

    Advisors use many techniques to make clients' portfolios geographically and industrially diverse, from including international funds along with U.S. mutual funds, to selecting a group...

  • Culture Management

    Joni Youngwirth

    Every company has a unique culture. Compare GE to Nordstrom, Southwest Airlines to Fidelity, or The Ritz to Microsoft. Each is an example of an...

  • UMAs & CIFs: New 401(k) Solutions

    Elizabeth D. Festa

    John Newman's group at Denver-based Fiserv ISS is poised to take advantage of the new trend toward outside management of asset allocation in retirement plans--and...

  • Getting With The Act

    Staff Writer

    Hailed as the most sweeping reform of America's pension laws in over 30 years, the Pension Protection Act of 2006 (PPA) was signed into law...

  • A Boon For Hedge Funds?

    Melanie Waddell

    Hailed as the most sweeping overhaul of the pension system in decades, the Pension Protection Act of 2006 is touching all facets of the financial...

  • Nothing but Fear Itself

    Olivia Mellan

    With the world bedeviled by random acts of terror, it's ironic to be approaching a time of year when we normally look forward to being...

  • All-Pro

    Bob Keane

    Most advisors don't see all that many clients who are in their 20s and even fewer young men of that age with millions of dollars...

  • About That Sideways Market...

    Staff Writer

    Regarding the article, "The Role of Equity-Indexed Annuities" in the August 2006 issue, I would like to bring into question some of the arguments used...

  • The Times Are A-Changing

    Marlene Y. Satter

    In an August 22 presentation, Mindy Lubber, president of the environmental and investment coalition Ceres, baldly said that global warming is "the greatest threat the...

  • Swimming With The Sharks

    Bob Clark, Bob Clark

    My education on the investment banking acumen of financial planners came at the old IAFP. Early in 1990, the IAFP Board decided to sell Financial...

  • Eureka!

    Susan L. Hirshman

    Although it seems that nothing could put a damper on a conversation faster than the discussion of taxes, asking for a client's tax return can...

  • Harvest Time All the Time

    James J. Green

    Financial planning, tax management, and investment management. At Brinton Eaton Wealth Advisors, a fee-only firm in Morristown, New Jersey, says Jerry Miccolis, a senior financial...

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