Investment Advisor November 2007
Cover Story
The View From The Top
One of the surest signs of the growing importance of the independent advisor business model is the proliferation of studies that seek to unlock the...
Features
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Small Is Beautiful
"Bigger is better." It's hard not to buy into it. These days it seems we're conditioned to want the bigger house with the bigger yard...
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Give Them What They Want
Brian Stimpfl has no delusions that TD Ameritrade can provide every possible technology solution to all of its customers. On the other hand, Stimpfl knows...
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The Long and Winding Road
Six months have passed since I became an independent advisor and it has proved to be a very interesting period, to say the least. At...
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Balanced Contrarian
When it comes to investing during turbulent times, it can be very difficult to justify to clients that staying with an asset mix that works...
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The Caring Voice of Reason
"Our clients don't come to us to be their friends," says Nancy Gardner. "They come to us as professionals to manage their money. They want...
Beginnings
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Lines Limned by a "Letters" Lover
Kudos for your Letters to the Editor page in the October issue. You gave a masterful snapshot of the confusion that goes on in the...
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Asset Allocation, November 2007
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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Hedge Funds Recover Quicker
As headlines buzz with the news that the subprime mortgage-related turmoil did not, in fact, leave the hedge fund industry in smoking ruins, a report...
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Mid-Sized, Sturdy, and Speedy
Mid-cap growth stocks would seem to be the ideal investment for those seeking high returns and low volatility. Companies from this corner of the market...
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Catching up with... Chet Helck
"It had a significant financial impact," admits Chet Helck, when asked about Raymond James's decision last year requiring insurers that wanted to sell annuities through...
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On the Capitol Hill Agenda
Going into the 2008 Presidential election year, Congress has a number of important issues to face, among them addressing the Alternative Minimum Tax (AMT) and...
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Group Think
The Financial Planning Association (FPA) and the National Hospice and Palliative Care Organization (NHPCO) announced a joint effort to help individuals financially prepare for end-of-life...
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Changes
Securities and Exchange Commissioner Annette Nazareth announced October 2 her intention to leave the Commission to return to the private sector. With Nazareth's departure, the...
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Upgrades
Barclays Global Investors announced that its iShares S&P California Municipal Bond and New York Municipal Bond funds, each a subset of the S&P National Municipal...
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ETF Education
The industry has fallen short in informing investors about exchange-traded funds (ETF), according to a Rydex survey of 500 mutual fund investors conducted in July....
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Rainbow Advisors
We rarely bookend the magazine with the same news item or theme, but we are this month. I'm writing in this space about the PridePlanners...
Columns
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A Lean, Custom Team for Today
One of the benefits of multi-disciplinary teams is that they can uncover hidden problems--or details--in a client's financial life. As we saw in last month's...
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Heirs and Omissions
If you had a career wish for your daughter or son, would it be as a financial advisor? If that wish came true, could you...
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Today's the Day
I imagine it's bittersweet when one's dire predictions become reality: on one hand, you'd have to be somewhat gratified to know you were right; on...
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Too Much of a Good Thing
A rubber band stretched to its limits and then let go will always snap back. Unfortunately, the markets are not as predictable as rubber bands....
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On the Agenda: Insurance and Ratings
The hot topics that Congress will continue to debate this year and into 2008 are whether to create an optional federal regulator for the insurance...
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Stressing for Success
What could be more satisfying than the life of a financial advisor? You're helping people solve their problems, get rid of financial pressures, become more...
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Draft Picks
This may be hard to believe, but I can usually gauge whether a financial planning job applicant will make a good employee within the first...
Conclusions
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New Options in 401(k)s
A new twist in retirement planning is taking hold: financial services companies are offering immediate annuities and longevity insurance--a deferred annuity--as an option in 401(k)...
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Conversation Obligation
Financial planners want products and services that will facilitate discussions regarding retirement income planning with their clients, according to a new Financial Planning Association study...
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NEWS & PRODUCTS, NOVEMBER 2007
Francois Gadenne, founding chairman of the Retirement Income Industry Association (RIIA), says that the next challenge for the financial services industry is coming up with...
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Institutional Approach for Individuals
As senior financial advisor at Anchor Capital Management Group, Inc., in Irvine, California, Leon James applies the quantitative analysis and strategic asset allocation used with...
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Migration Time
Recent events in the broker/ dealer world may have set the stage for higher than usual firm-to-firm migration by representatives, some of whom have been...
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The Swinging Pendulum
If you were a doctor or dentist, the decade from 1995-2005 was tough. Insurance companies didn't want to offer disability coverage to doctors and dentists....
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Confusion and Misinformation
One of the things I hope to do through these Expert's Corner articles is to clear up some of the subjects about which many advisors...
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Not-Quite-Final Exams
As we enter the final quarter of 2007, it is a good time for tax advisors, and financial planners who work with tax advisors on...
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Treat All Couples Equally
The recent Prideplanners conference in Washington, D.C., brought with it some sober realities for advisors. Marriage and the recognition of domestic partnerships for gay and...
Sidebar Stories
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The Buzz
The following quotes of note were made by IRS officials and tax professionals on recent Tax Talk Today webcasts. "The IRS never really has turned around...
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Better Managed? More Productive
Schwab Institutional conducted its second comprehensive advisor benchmarking study this year, RIA Benchmarking: Growth Trends Study, which included financial and organizational data from more than...
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How to Shrink Stress
When stress impinges on your worklife--whether it emanates from work or from home--it can force you into your less functional, primitive survival mode. To return...
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Nancy Gardner, CFP
Executive Vice President Tanglewood Capital Management 1400 Post Oak Blvd., Suite 550 Houston, Texas 77056 Phone: 713-840-8880 Web site: www.tanglewoodcap.com E-mail: ngardner@tanglewoodcap.com Year practice started: 1979 AUM: $600 million Compensation: Fee-only Number of clients: 370 Client...
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The Feeling's Mutual
Nancy Gardner is passionate about her profession and strives to remain professional in all her dealings with clients. Despite her efforts at personal detachment, it's...
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Keeping It All in Balance
Schwab Institutional # of RIAs: Approximately 5,000 firms Web-based?: Yes, except for Portfolio Center. Cost: Primarily free. Does charge for Portfolio Center. Supports: Advent, dbCAMS, IAS and others Current...
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The Source of Our Numbers
This article is based on the results of the 2007 Rydex AdvisorBenchmarking survey, completed by 912 RIAs between March and June 2007. Since 1999, Rydex...
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Funding Retirement in Disability
The newest product on the market is one that allows clients to fund their retirement even though they may be disabled and not working at...
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Defining the Best
Here's how we define "top" firms in small and large categories. Top Small Firm Category Size of Firm: Qualifying small firms have $100 million or less...
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About the Manager
Steven Romick has managed the $1.4 billion FPA Crescent Fund since its inception in June 1993, and is trustee, president, and CIO of the fund,...
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For financial advisors, social media represents a powerful addition to traditional marketing and networking activities....
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