Investment Advisor May 2008
Cover Story
Watch List
Over the past five years, the focus has shifted for the independent advice community, a shift that has been reflected in the IA 25, our...
Features
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Seismic Shift
Treasury Secretary Henry Paulson's Blueprint for a massive overhaul of the financial services regulatory structure, which he unveiled March 31, is already sparking much debate...
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Tangible Diversification
For an active investor, the turmoil on the world's stock exchanges that we've seen in recent months can produce a kind of virtual motion sickness....
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No Mimicry Here
It's times like these when clients may ask advisors all kinds of questions; they may ask what kinds of investments have the potential to do...
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Retirement Risk Redefined
In a story as poignant as it is telling, an Illinois wealth manager related that he and his two sisters must now provide for their...
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Recovery Room
This is a story about a threat to your clients of which you may not be aware, but that you can do something about. It...
Beginnings
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CFP's DEC Stepping Down
At its January 17-18, 2008 meeting, the Directors of the CFP Board of Standards unanimously decided to delegate to the CEO the authority to "appoint...
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Asset Allocation, May 2008
To learn this month's recommended asset allocations of Investment Advisor's panel of distinguished economists and money managers, click here.
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IPO Alternatives: Reverse Mergers
The challenging initial public offering market has given rise to a new trend among small private companies. Businesses that have been experiencing difficulty in going...
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A Healthy Portfolio?
Healthcare has traditionally been thought of as a defensive sector, since even when economic conditions get bad, people will still take care of their health. However,...
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How's It Playing in Peoria?
The volatility that has plagued the markets and the economy sparked by the suprime mess has played havoc with the psyche of both advisors and...
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Whither Client Loyalty?
Are you certain that your clients will follow you where'er you roam? According to new research by Spectrem Group, clients may not be as steadfast...
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What Lurks Beneath
When two of Bear Stearns's highly leveraged hedge funds that reportedly had invested in subprime loans imploded last summer, the firm stepped in with $1.6...
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Group Think
The University of Kansas School of Business awarded 1st Global's Tony Batman with its Distinguished Alumni Award on April 10. Batman received his Bachelor of...
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Changes
New York Life Insurance Company announced that John Kim has been named president and CEO of its investment management arm, New York Life Investment Management...
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Upgrades
Fidelity Investments launched the Fidelity 130/30 Large Cap Fund, which will be managed by Keith Quinton, using a combination of Fidelity's research and fundamental quantitative...
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It's All Personal
What sets independent advisors apart is the personal advice you give to clients. Your technology tools may be great, your investment strategy may be a...
Columns
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Death and Taxes Respect No Borders
The long-time clients--a Boston-area couple in their early sixties--plan to retire soon from their respective Fortune 100 executive positions and spend most of their time...
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Time of Reckoning
By definition, "rules of thumb" presume that nothing will change. Real estate values will always go up. Auction rate debt will always be liquid. Advisory...
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Building Healthy Online Relationships
Many years ago, Worth magazine sent me to the Professional Publishing course at Stanford University. It offered seminars by many leading luminaries in the magazine...
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Changes in Charitable Compliance
Warning! Warning! Do not drive or operate any machinery or heavy equipment while reading this article. The reading of this article may cause sudden dizziness...
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Donohue on the Rand Report & Paulson
The SEC has a number of initiatives on its plate this year that could make advisors' lives easier, or not. For instance, advisor regulation will...
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Quittin' Time?
It's official: the first baby boomer, Kathleen Casey-Kirschling, is on Social Security. There's going to be a long line behind her--USA Today reports that an...
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Stepping Up
A young financial planner at one of my client firms sent an e-mail to his employer, saying that he was concerned about the growing volume...
Conclusions
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Introducing the Wealthy to Roth IRAs
Advisors take heed: the income limit for those who can convert their retirement holdings from a traditional IRA to a Roth IRA (now applicable to...
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Ahead of the Game
Many affluent Americans are addressing economic uncertainty by modifying expenses in the short term, and maintaining retirement investing for the long term, according to new...
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NEWS & PRODUCTS, MAY 2008
According to recent data released by the Employee Benefits Research Institute (EBRI), for fiscal year 2009, employee benefits-related tax expenditures ($347.9 billion) will account for...
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Making Volatility a Retiree's Friend
J. Michael Martin's goal for his clients, about 80% of whom are retirees or those getting ready to retire, is not to have a negative...
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DIY Clearing, Made Easy
Although the idea of outsourcing clearing and settlement may sound new, its premise is exactly the same as in any other area of business, and...
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NEWS & PRODUCTS, MAY 2008
UBS Global Asset Management announced that its U.S. Pension Fund Fitness Tracker, a quarterly estimate of the overall health of a typical U.S. defined benefit...
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If A Stranger Calls
Late in 2007, no less a personage than TV celebrity Larry King made headlines with a financial problem that's becoming increasingly common. In November, King...
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Got Unhappy Clients?
The markets are in decline and you and your peers may very well be feeling a bit nervous. And, if in this environment even professional...
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Embracing Change on Our Own Terms
In Washington there is one constant: Change. Though change is not always comfortable inside the Beltway, the reactions of those affected are mostly the same,...
Sidebar Stories
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Working and Retirement
His passions for advising his aging clients drew Kirk Greene of Greene Wealth Management in Seattle to psychologist and gerontologist Dr. Ken Dychtwald, author of...
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Carbon Commerce
Carbon emissions trading, whereby companies and individuals can buy and sell carbon credits with broker/dealers facilitating the transaction, is growing, according to a recent TowerGroup...
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Insurable Interest
One of the issues surrounding stranger-oriented life insurance, is that investors providing life settlements in exchange for being named beneficiaries have no insurable interest in...
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Larry Nakamura
President Torrey Capital, Inc. 5752 Oberlin Drive, Suite 106 San Diego, CA 92121 Phone: 858-952-5721 E-mail: ln@torreycapital.com Web site: www.torreycapital.com Year firm founded: 2004 Number of clients: 45 families Assets under management: $25 million Client...
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Behind the Numbers, Gail Dudack
"It has been my assumption that whether or not we technically avoid a recession, we are in something that feels enough like a recession," explains...
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How It Will Affect You
Following are the Treasury Department's intermediate and long-term regulatory restructuring goals that would directly affect investment advisors and broker/dealers. INTERMEDIATE Insurance Establish a federal insurance regulatory structure...
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Risk Is Remote When Managed Properly
Another way that Larry Nakamura and his clients benefit from the real estate market is through a second company, Torrey Capital Mortgage Fund, essentially a...
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