Investment Advisor-October 2008

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  • About the Source

    Staff Writer

    This article on the current state of the advisory profession, and its insights into the best practices of the most successful firms, is based on...

  • Annuities Better for Women?

    Kara P. Stapleton

    Women should put 40% to 80% of retirement assets into lifetime income annuities, according to Lifetime Income for Women: A Financial Economist's Perspective, a paper...

  • Changes

    Staff Writer

    PIMCO announced that Mohamed El-Erian, who returned to PIMCO in January 2008 from Harvard University's endowment fund, was elected to serve as the firm's CEO...

  • Changing of the Guard

    Marlene Y. Satter

    On July 3, the National Association of Insurance Commissioners (NAIC) announced that Catherine Weatherford, long-time executive vice president and CEO, would be leaving her post...

  • Annuities for Women

    Kara P. Stapleton

    Women should put 40% to 80% of retirement assets into lifetime income annuities, according to Lifetime Income for Women: A Financial Economist's Perspective, a paper...

  • More Hedge Fund Closures Likely

    Jeff Joseph

    The closure of Ospraie Manage-ment LLC's flagship hedge fund is likely to be the first of several such failures, as a slump in commodities and...

  • What's Next--after NEXT?

    Staff Writer

    June is known for groundbreaking decisions. This year, in a thrashing of NEXT Financial's established practices with investors' personal information, an administrative law judge ruled...

  • Green Checklist for Your Office

    Staff Writer

    Advisors who want to go green might want to see how many items they can answer "Yes" to on the checklist below. Do you...

  • It's Not Always About Money

    Staff Writer

    Helping clients through life's stages may take many forms. For example, one long-time client of GW& Wade's Tim Pinch consulted him before purchasing real estate...

  • The Next Steps

    Staff Writer

    Catherine J. Weatherford, new president and CEO of NAVA, says that the most important issues she sees facing the group and the industry are the...

  • Catching up with... Dick Averitt

    Staff Writer

    Raymond James Financial Services's (RJFS) national conference, in Washington in late August, drew an impressive 968 advisors. One of the hot topics at the conference...

  • DOL Floats Advice Proposals

    Melanie Waddell

    The Department of Labor (DOL) recently announced two proposed rules under the Pension Protection Act (PPA) designed to make investment advice more accessible for millions...

  • And the Winner Is...

    Melanie Waddell

    With the Presidential election only a month away, we thought we'd review where the candidates--Sens. Barack Obama (D-Illinois) and John McCain (R-Arizona)--stand on various hot-button...

  • Upgrades

    Staff Writer

    Fisher investments has closed on its second acquisition of an RIA firm--Lighthouse Capital Management of Houston, a 20-year-old practice with $460 million in AUM that...

  • Little Things Mean a Lot

    Staff Writer

    Jim Oxley and his team of three partners wrestled with issues similar to those Ross Gott faced in New London, New Hampshire. Eighteen months ago,...

  • Know Your Client

    Staff Writer

    When it comes to providing world-class customer service, longevity can help you understand what individual clients need. For instance, as client relationships develop, you will...

  • A Picky Employer

    Staff Writer

    Financial Finesse has 400 corporate clients and employs six CFPs--whom it compensates via a salary and a bonus. But CEO Liz Davidson stresses that the...

  • Asset Allocation, October 2008

    Staff Writer

    Read this month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers here.

  • Exit Strategy?

    Staff Writer

    When we last conducted a personal interview with Larry Roth two years ago at the FSI conference in San Diego, he had just joined the...

  • Listing of Pooled Income Fund Sponsors

    Staff Writer

    Life Income Funds of America www.lifeincomefund.org Fidelity Charitable Gift Fund www.charitablegift.org Raymond James Charitable Endowment Fund www.myfamilyfoundation.org American Red Cross www.redcross.org/donate/plngiv/pooled.html Harvard University Planned...

  • Behind the Numbers, with David Kelly

    Staff Writer

    "We've seem to have hit somewhat of a turning point on the dollar, so we want to be primarily in U.S. stocks now," explains David...

  • Learning to Listen by Speaking

    Staff Writer

    Following is an excerpt from a column written by Olivia Mellan for the May 2002 issue of Investment Advisor in which she describes the technique...

  • RIAs Are Certainly Not "Under-Regulated"

    Staff Writer

    I most strongly disagree with the assertion by Eric Schwartz in the "The Case for the Flexible B/D" (IA September), that RIAs are "under-regulated." He...

  • About the Manager

    Staff Writer

    William F. Quinn, chairman of American Beacon Advisors Inc., has been with the AMR group since 1974, when he joined American Airlines' former subsidiary, Sky...

  • Avoiding the Scars

    James J. Green

    Like that famous scene in "Jaws" where Robert Shaw, Richard Dreyfus, and Roy Scheider compare scars, several of us editorial types were in the office...

  • Funds Get Real Amid Unreal Housing Market

    Beth Piskora

    For many homeowners, the real estate market has turned, well, unreal.The average home price fell 18.22% since its peak in the second quarter of 2006,...

  • NEWS & PRODUCTS, OCTOBER 2008

    Staff Writer

    The SEC announced September 11 that it had brought an enforcement action against LPL Financial Corp., saying the largest independent broker/dealer had failed to safeguard...

  • NEWS & PRODUCTS, OCTOBER 2008

    Staff Writer

    Health insurance coverage continues to decline, according to the Employee Benefit Research (EBRI), which used the U.S. Census Bureau's March 2007 Current Population Survey (CPS),...

  • Playing Fair

    Staff Writer

    When it comes to negotiating compensation for yourself, you should propose a fair compensation package. In using that phrase, I'm not talking about those "fair...

  • A Two-Way Retirement Transition Plan

    Elizabeth D. Festa

    James Zimbardi at Allgen Financial Services in Florida is part of a team that is recruiting established advisors from standalone shops as well as from...

  • Not Alone

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    AMR Corp.'s decision to sell its money management arm, American Beacon Advisors Inc., to a private equity consortium--a deal that was announced in April 2008--bodes...

  • The Paradox of the Accountant

    Mark Tibergien

    Advisory practices operating inside of certified public accountant (CPA) firms are a paradox. They are growing faster than the advisory profession on average, but many...

  • The Real Deal

    Bob Clark, Bob Clark

    It would be hard to overemphasize the impact that technology has had on the success of independent financial planning. Those old HP-12Cs empowered the first...

  • Long-Term Losses

    Olivia Mellan

    Politics aside, the recent diagnosis of Ted Kennedy's serious illness has sparked an ache of loss in many of us--not just at the prospect of...

  • Know Thyself

    Angie Herbers

    I get a lot of e-mails and chat room inquiries (the preferred mode of communication of my generation) from NexGen advisors asking how much they...

  • When Big Is Better

    James J. Green

    When we last conducted a personal interview with Larry Roth two years ago at the FSI conference in San Diego, he had just joined the...

  • Going Green With Garbage

    Bob Keane

    When many advisors and their clients get together these days, topic number one is energy. Retirees are concerned that escalating costs for gasoline and electricity...

  • Legal Double Dipping

    Kara P. Stapleton

    What if you could tell a client that they can retire early and still get their full retirement benefits? Well, in fact, you can. "It's...

  • Sleuthing Bonds

    Staff Writer

    Furthermore, the correlation coefficient of the municipal to Treasury bond relationship has slipped from it's long-time average around 50% to below 0% recently, indicating that...

  • The Dawning of an Industry

    Melanie Waddell

    With gas prices and foreclosures at an all-time high, debt levels soaring, and paltry savings rates that Americans are infamous for, consumers are in dire...

  • Anchor or Asset?

    Staff Writer

    How many of your clients have an asset in their portfolio that has significant value, yet it cannot be sold and acts more like an...

  • Gold Medal

    Staff Writer

    As a registered investment advisor (RIA), you are in the business of serving your clients' financial needs--and it's no exaggeration to say that the quality...

  • Even Affluent Clients Feel the Chill

    Lewis Schiff

    The affluent may have significant assets, but that doesn't make them immune to economic chills. Even if retirement savings are in the multiple millions, affluent...

  • One Small (Big) Step

    Angie Herbers

    It's often educational to skip a conference for a year or two; it makes the changes stand out more. This year's FPA NexGen Conference, held...

  • Foreign Aid

    Kara P. Stapleton

    John Ledford is making an impact on the lives of small business owners worldwide. The president of Ledford Financial, which predominantly serves business owners and...

  • Another Benefit

    Staff Writer

    Getting a number of members of your team to be engaged with clients in the early phase of their relationship with your firm helps the...

  • Going It Alone

    Staff Writer

    Like many advisors who choose to leave established firms where they have been employees to build independent practices where they can be their own bosses,...

  • Cathy Pareto

    Staff Writer

    President & founder Cathy Pareto & Associates Inc. 2332 Galiano Street, 2nd Floor Coral Gables, Florida 33134 Phone: 305-728-7234 E-mail: info@cathypareto.com Web site: www.cathypareto.com Year firm founded: 2007 Number of advisors in firm:...

  • Group Think

    Staff Writer

    The Financial Planning Association (FPA) has named pioneering planner Don Pitti as the recipient of the 2008 P. Kemp Fain Jr. Award, which recognizes a...

  • An Alternative Education

    Kara P. Stapleton

    Despite investors' lack of familiarity with alternative investments, new research suggests that they are open to them, if only they are educated first. The Alternative Investments...

  • War Room

    Maya Ivanova

    Maybe it was the bailout of investment bank giant Bear Stearns or the government takeover of Fannie and Freddie. Perhaps it was the steep decline...

  • Stand and Deliver

    Staff Writer

    It's late morning, and the summer sun is shining on Mt. Kearsarge in central New Hampshire. Ross Gott, president of Kearsarge Capital Advisors in nearby...

  • Wall Street Stunned

    James J. Green

    Wall Street is not what it used to be, for good or ill. Culminating (at least for the moment) a months-long period of market volatility...

  • The Architects

    Staff Writer

    By just about any measure this is a very good time to be an independent advisor. Ironically, however, the latest Moss Adams Study of the...

  • Miami Advice

    Bob Keane

    One of the telltale signs that the advisory profession is still in its infancy is how many advisors started on another path before finding their...

  • Is Consolidation Finally Here?

    James J. Green

    In what could be further evidence of consolidation in the independent broker/dealer space--or of the enhanced value that winning Investment Advisor's Broker/Dealer of the Year...

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