Investment Advisor February 2008

Features

  • Visionary

    By James J. Green, AdvisorOne

    "...we are on the brink of a revolution in the financial planning industry. This sea change is being led by a successful financial planner who...

  • The Bell Tolls

    By Olivia Mellan

    The age wave has at last reached shore. In 2008, baby boomers begin turning 62--old enough to draw Social Security. This horde born between 1946...

  • Illusionist

    By Staff Writer

    One of the banes of modern investment manage- ment is the existence of closet indexers--money managers who are ostensibly active managers but who in fact...

  • Go Anywhere

    By Kathleen McBride, AdvisorOne

    By now advisors have heard the hue and cry of many experts imploring them to move away from value investing and into growth investing, and...

  • Impressionist

    By Kara P. Stapleton

    When it comes to how advisors market themselves, they shouldn't neglect an obvious yet somewhat overlooked first step. "People size you up within 10 or...

Beginnings

  • Tolerance Rears Its Welcome Head

    By Staff Writer

    I was surprised by the first letter in your December 2007 issue. I had the distinct pleasure to work with Frank Siegel. I was then...

  • Asset Allocation, February 2008

    By Staff Writer

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

  • California Seeks Advisor Registration

    By Staff Writer

    A proposal under consideration by the California Corporations Comm-issioner that would require registration by hedge funds is having a hard time finding supporters. The Commissioner's proposal...

  • Experts Differ on Japan for '08

    By Staff Writer

    From 2003 to 2006, investors were well served with Japanese equity funds. Then in 2007, the average Japanese equity fund posted a loss of 6.42%,...

  • Expansion of AMT Put Off

    By James J. Green, AdvisorOne

    A flurry of last-minute year-end legislative action by the first session of the 110th Congress included a bill that postpones by a year expansion of...

  • ETF Market's In Good Shape

    By James J. Green, AdvisorOne

    If mutual funds are the professional football teams of the investing universe--strength in numbers, with the pooled cash following the portfolio-building plays called by quarterback...

  • Catching up with...

    By Kathleen McBride, AdvisorOne

    Brian McMahon, longtime president and chief investment officer at Thornburg Investment Management (TIM), added the CEO mantle to his responsibilities on January 1, succeeding Garrett...

  • A Groundbreaker

    By Melanie Waddell, AdvisorOne

    Now that the much-anticipated Rand study of the broker/dealer and investment advisory industries is out, it promises to be the biggest topic of discussion for...

  • Group Think

    By Staff Writer

    The Government Accountability Office (GAO) recently told the SEC to beef up its oversight of self-regulatory organizations (SROs). The GAO wants the securities regulator to...

  • Changes

    By Staff Writer

    Brecek & Young Advisors, Inc. announced that Roland Brecek will retire from his role as president, effective February 1, 2008, but will remain at the...

  • Upgrades

    By Staff Writer

    Standard & Poor's launched a new investable index for investors seeking exposure to environmentally responsible investment strategies. The S&P Global Eco Index provides exposure to...

  • The Race to "Rich"

    By Staff Writer

    How much money does it take before you are rich? Even better, how much does it take to feel rich yourself? According to a recent...

  • Lessons From a Banker

    By James J. Green, AdvisorOne

    "We don't cover individual equities, no," is what Investment Advisor editors always say to PR people who call us touting the hottest new stock. There...

Columns

  • Making Collaboration Work

    By Lewis Schiff

    Properly protecting assets to fulfill a family's wishes and having the right documents implemented is what separates advanced planning from theory, as we discussed last...

  • More Than Keeping Score

    By Mark Tibergien

    An accepted principle in portfolio management is rebalancing--the process of restoring your portfolio to its original mix that was designed to meet a specific investing...

  • Selling Out

    By Bob Clark, AdvisorOne, Bob Clark, AdvisorOne

    At the end of last November, I had the privilege of moderating a panel of advisors at the Investment Advisor Moss Adams Advisor Summit in...

  • Quality Time

    By Susan L. Hirshman

    In our past two articles, we discussed qualitative research that JPMorgan conducted on both affluent clients and their advisors. The goal of this proprietary research...

  • A Busy Year in Washington

    By Melanie Waddell, AdvisorOne

    The New Year is upon us, and perhaps the most significant event for the advisory industry has already taken place--the Rand report assessing the advisory...

  • Barring the Door

    By Angie Herbers

    Recently, one of my clients lost a long-time employee to another firm. This employee had been the admin/back office assistant to a solo practitioner for...

Conclusions

  • The New Paradigm

    By Staff Writer

    On the face of it, the idea of marrying operations and compliance seems natural. But such a marriage is not about combining two separate functions...

  • Buying Binge

    By Melanie Waddell, AdvisorOne

    The Hartford is on a buying spree. In December, Simsbury, Connecticut-based The Hartford Financial Services Group acquired three businesses--TopNoggin, Sun Life Retirement Services, and Princeton...

  • Win Over Those Rollovers

    By Kara P. Stapleton

    Of the more than 200,000 practicing financial advisors it counts in the United States, less than 10% concentrate on the retirement plan marketplace, according to...

  • Big Years Ahead for Auto Enrollment

    By Elizabeth D. Festa

    Ask David Wray, president of the Profit Sharing/401(k) Council of America, what the retirement landscape will look like in 2008, and he's quick to point...

  • Retirement News & Products

    By Staff Writer

    Data culled by the Employee Benefit Research Institute (EBRI) shows that Social Security remains a significant source of retirement income for higher income earners, not...

  • Litigation A-Go-Go

    By Kathleen McBride, AdvisorOne

    Following months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...

  • B/D News & Products

    By Staff Writer

    On January 8, James Cayne of Bear Stearns announced his plan to step down as CEO, effective immediately, though he will stay on as chairman...

  • Insuring Future Success

    By Marlene Y. Satter, AdvisorOne

    Mergers are not the sole province of corporations. Two longtime financial trade organizations have joined the trend to consolidate. However, they will not lose their...

  • Is an IPS the Answer?

    By Thomas D. Giachetti

    In my last two Expert's Corner columns ("Confusion and Misinformation, November 2007 and "Use Them, But Carefully," December 2007), we addressed some of the misinformation...

  • The ETF Solution

    By Staff Writer

    With most workers responsible for their own retirement planning these days, the pressure on corporate America has never been greater to offer effective investment choices...

Sidebar Stories

  • No Prospecting Allowed

    By Staff Writer

    Although Waldron Wealth Management has realized impressive growth, particularly over the last three years, it can't be laid to the firm's extensive marketing or prospecting...

  • John Doesn't Do PowerPoint

    By Staff Writer

    One day in 2003, John Waldron agreed to give a presentation to a group, but since he doesn't do seminars or public solicitation, he had...

  • Krishna Pendyala

    By Staff Writer

    Chief Operating Officer and Coach Waldron Wealth Management 1150 Old Pond Road Pittsburgh, Pennsylvania 15017 Phone: 412-221-1005 Web site: www.waldronwm.com Year firm founded: 1995 Year joined firm: 2004 Firm AUM: $750 million Firm assets...

  • The Three Questions

    By Staff Writer

    The signature exercises that Kinder's Institute of Life Planning conducts at its workshops to help an individual discover what's most important to them start with...

  • Who's a Boomer?

    By Staff Writer

    The term "baby boomer" is used to describe the generation born between 1946 and 1964, but there are in fact sub-groups. Leading Edge boomers, born...

  • How Others See Boomers

    By Staff Writer

    To get a better handle on baby boomers, I did a little not-so-scientific research by asking several advisors to tell me what terms they associate...

  • When Value Means Growth

    By Staff Writer

    In the process of screening the equity universe for possible inclusion in the Hartford Growth Opportunities Fund, manager Michael Carmen considers a company's earnings potential...

  • About the Manager

    By Staff Writer

    Michael Carmen manages $9 billion for Wellington Management and The Hartford. He is senior VP and equity portfolio manager at Wellington, which sub-advises the Hartford...

  • Clean Up That Mess!

    By Staff Writer

    The physical space of your office should not only be professional and comfortable for clients, but it should also be clean and tidy. In particular,...

  • Enhancing the Level of Service

    By Staff Writer

    Valet parking and an office big enough to display a large tank of saltwater fish might impress your clients and prospects, but they aren't practical...

  • Democrats Expect Economy Will Go South in '08

    By Staff Writer

    A new study by Harris Interactive finds that more than half the nation's Democrats and Independents feel the economy will get worse in 2008. The...

  • Declines on the Rise

    By Staff Writer

    Peering at projections for 2008 may make one a bit uneasy. For example, the Securities Industry and Financial Markets Association (SIFMA) 2008 U.S. Market Outlook...

  • Economies of Scale

    By Staff Writer

    As an example of ways in which the new organization of LL Global can help the financial services industry, Howard Drescher of LIMRA points to...

  • Avoiding Mismatches

    By Staff Writer

    The director of the SEC's Division of Investment Management mentioned derivatives in particular at the ICI's Operations and Technology Conference last October: ". . . one...

  • Behind the Numbers with Sam Stovall

    By Kara P. Stapleton

    Sam Stovall, S&P's chief economic strategist, says he has a neutral exposure to stocks, with an overweight in international. "We have split up the 60%...

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