Investment Advisor August 2007

Features

  • A Victim of Success?

    By Maya Ivanova

    The key to growing any business often lies in how the company's products and services are marketed. A sound marketing plan is the growth engine...

  • The Income Barista

    By Ken Ziesenheim

    As many advisors know, the biggest challenge facing millions of retiring baby boomers is income (or lack of) as they necessarily begin to rely on...

  • Experience and Flexibility

    By Kathleen McBride, AdvisorOne

    Experience: accept no substitute. In a world where the phantom valuations and effervescent ratings of mortgage-backed securities seem to be overshadowing all of the markets,...

  • Tassel Hassle

    By Kara P. Stapleton

    A hot-button issue this time of year that brings clients to advisors is funding their child's college education. "The reason is just plain, old cost,"...

Beginnings

  • Statement Doesn't Carry Water

    By Staff Writer

    In "The Carry Trade," (HedgeWorld, June 2007) you quote Erik Postniecks stating that "Ninety percent of all retail investors lose money in futures markets." I assure...

  • Asset Allocation, July 2007

    By Staff Writer

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

  • The Far Reach of Subprime Woes

    By Jeff Joseph

    Leveraged loans to companies are likely to be adversely affected by hedge fund losses from collateralized debt obligations (CDOs). This indirect effect of the subprime...

  • Small-Cap Value Still Chugging Along

    By Staff Writer

    While small-cap stocks have generally underperformed large-caps in recent years, small-cap value has kept pace with its larger-cap value peers. The average small-cap value portfolio...

  • Coming Home to Roost

    By Kathleen McBride, AdvisorOne

    Problems in the subprime fixed-income market played perhaps a larger-than-expected role in presentations and discussions among the experts at Morningstar's annual Investment Conference, this year...

  • Treasury Calls for Regulatory Overhaul

    By Melanie Waddell, AdvisorOne

    Secretary of the Treasury Henry Paulson is on a mission to reform the U.S. financial services regulatory structure to enhance the nation's global competitiveness. He announced...

  • Group Think

    By Staff Writer

    The Financial Planning Association named E. Denby Brandon as the recipient of the 2007 P. Kemp Fain Jr. Award, which recognizes an FPA member who...

  • Changes

    By Staff Writer

    Morningstar, Inc. announced that Kunal Kapoor, has been named president of Morningstar Investment Services, Inc., the wholly owned investment management subsidiary of Morningstar. Kapoor, who...

  • Upgrades

    By Staff Writer

    The Bank of New York and Mellon Financial have completed their merger, creating The Bank of New York Mellon Corporation. The new firm will have...

  • Head South, Investors!

    By Kara P. Stapleton

    Investing in emerging markets has paid off handsomely over the last few years. According to a new Standard & Poor's survey of fund managers, professional...

  • Get Over It

    By James J. Green, AdvisorOne

    ach of us would like to be appreciated for who we are, but also recognized as being worthy of appreciation. Maybe I'm just projecting here,...

Columns

  • Keeping It in the Family

    By Lewis Schiff

    If you don't have your own network to address the concerns of your advanced planning clients, you may want to bring in a private wealth...

  • Prevailing Winds

    By Mark Tibergien

    "Culture eats strategy for breakfast." I've pondered this line, attributed by a Stanford professor to a sign in the Ford Motor Company board room, as...

  • Genius, Pure Genius

    By Bob Clark, AdvisorOne, Bob Clark, AdvisorOne

    Remember the scene near the beginning of the play and film "Amadeus," where the great Antonio Salieri, court composer to Emperor Joseph II of the...

  • Buyer's Remorse

    By Susan L. Hirshman

    As the summer begins to wane, many people yearn for that feeling of tranquility and bliss they felt while vacationing at the beach or in...

  • Will 12b-1 Fees Survive?

    By Melanie Waddell, AdvisorOne

    Will the securities and Exchange Commission repeal 12b-1 fees? It depends on whom you ask, but SEC staff will recommend changes that Chairman Christopher Cox...

  • Are We Having Fun Yet?

    By Olivia Mellan

    Ah, summer vacation. Many of us try to refresh ourselves with a week or more of travel, relaxation, or fun at this time of year....

  • Dream Teams

    By Angie Herbers

    Growth, Growth, and more growth. These days the financial advisory community is obsessed with growth. Broker/dealers and custodians are ever less subtle about pushing their...

Conclusions

  • Insuring a Secure Retirement

    By Melanie Waddell, AdvisorOne

    A retirement planning strategy that was popular in the 1980s but fell out of favor is being revived: using life insurance to create personal, defined...

  • Working Through Retirement

    By Kara P. Stapleton

    Are your clients putting away enough money for retirement or will they be working at the age of 70 to cover healthcare costs? According to...

  • News and Products

    By Staff Writer

    New research by Cerulli Associates has found that the 403(b) market is just as profitable, if not more so, as other defined contribution businesses. Of...

  • Subprime

    By Kathleen McBride, AdvisorOne

    As the implosion of subprime mortgages and junk bonds causes uncertainty throughout the markets, advisors and broker/dealer executives may want to think about what's in...

  • A Case for VAs?

    By Kara P. Stapleton

    It's no secret that securing retirement income for life is a top financial goal for boomers. Now, new research sponsored by AIG SunAmerica and conducted...

  • News and Products

    By Kara P. Stapleton

    NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization formed by the consolidation of NASD and NYSE Member Regulation will be called...

  • Inside Job

    By Marlene Y. Satter, AdvisorOne

    Sure, You safeguard your clients' data. But what if an employee decides to make off with your files? The possibility hit the news back in March...

  • Internal Medicine

    By Thomas D. Giachetti

    In my last columns (April and May 2007), we addressed the importance of restrictive covenants that protect an advisory firm's client relationships. But there's a broader...

  • Closing the Gap

    By Staff Writer

    The primary goal of the Internal Revenue Service is to collect the taxes that are owed to the federal government under current tax law. Reducing...

  • The Tax-Free Investing Opportunity

    By Staff Writer

    How many of your clients could benefit from tax-free investing? Since we're talking about a one-time only Roth IRA opportunity, the answer depends on several client-specific...

Sidebar Stories

  • Not Just Little Guys Fail at Marketing

    By Staff Writer

    "A lot of advisors don't track where their new clients come from," Dave Welling, Schwab Institutional's VP of marketing and advisor business management, says incredulously. Welling...

  • Marketing True Confessions

    By Staff Writer

    Rich Coppa and Darin Gartland, his partner at Wealth Health in Roseland, New Jersey, have tried a number of marketing tactics since they launched their...

  • The Tax Advantage

    By Staff Writer

    In 2003, the federal tax rate on qualifying dividends from U.S. companies, international companies that trade on the U.S. market, and international companies domiciled in...

  • About the Manager

    By Staff Writer

    When Ariel Capital Management Chairman and CEO John Rogers, Jr., founded the firm in 1983 it was the first African-American owned money management company in...

  • Hidden Money

    By Staff Writer

    The typical way an advisor helps clients save for their kids' college education involves a savings vehicle like 529 plans. Here are some lesser-known ways...

  • Lessons From a Too-Parsimonious Parent

    By Staff Writer

    Most of us know that a parent's excessive spending can send a lopsided message to a child, but as a colleague and friend of mine...

  • A Place for Everyone

    By Staff Writer

    In assessing the value of all your employees, you certainly want to identify those who are willing to go the extra mile and to encourage...

  • Just Good Policy

    By Staff Writer

    Nancy Callahan, VP of AIG's Identity Theft and Fraud Division, says that coverage under the AIG Corporate Identity Protection policy is just what advisors need...

  • Defining a Buy-Sell

    By Staff Writer

    What exactly is a shareholders' buy-sell agreement? Stuart Mickelberg provides this succinct answer: A shareholder agreement, or buy-sell agreement, is a legally binding contract between shareholders...

  • Paying for the Buyout

    By Staff Writer

    how can a firm or remaining owners afford to buy out an exiting owner of a deceased owner's estate? Stuart Mickelberg replies: In the event of...

  • The IRS Is Getting Tougher

    By Staff Writer

    Acting IRS Commissioner Kevin Brown told Tax Talk Today viewers that the IRS has made significant progress in recent years in terms of enforcement: Overall revenues...

  • Behind the Numbers, with Mark Keller

    By Kara P. Stapleton

    "We expect stocks will continue to work higher through the rest of the year, with a continuation of the choppiness that usually accompanies tight Fed...

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