Investment Advisor October 2007

Cover Story

  • Got a Minute?

    By Staff Writer

    Google the phrase "time management" and you'll get close to 1.2 billion hits. Not bad at a time when Britney Spears results in a paltry...

Features

  • Behind the Numbers

    By Michael S. Fischer

    Next time you're thinking about investing in a hedge fund or managed futures account, you may want to check with your grandmother. Explain what you're...

  • Tech Tools

    By Staff Writer

    Creating a solid, goals-based investment strategy for your clients, one that is subject to continuous improvement, should ideally be your top objective. However, if you...

  • Love Those Taxes!

    By Susan L. Hirshman

    Just a year ago in an Investment Advisor cover story and follow-up (October 2006, "Eureka," and November 2006 Wealth Advisor column, "Digging Deeper"), we described...

  • Brother and Sister, Where Art Thou?

    By Olivia Mellan

    To judge by the Genesis story of Cain and Abel, sibling rivalry has been going on as long as there have been siblings. Although this...

  • The Longevity Race

    By Lauren Barack

    Perfectionists, but in a good way, is how Paul Lofties might describe the advisors he manages at Securities America. After installing the retirement distribution tool,...

  • The Kids Stay in the Picture

    By Kara P. Stapleton

    As increasing number of planners adopt a holistic approach to their clients' money matters, many are taking a closer look at the relationship they have...

  • Transparency and Respect

    By Robert F. Keane

    There's been much debate recently among regulators, industry associations, and advisors themselves about fiduciary responsibility. Jim Dew, principal and sole practitioner of Dew Wealth Management...

  • Simulation Wizardry

    By Mike Patton

    Financial planners have long searched for a tool that provides flexibility in modeling the specific nuances of various clients' situations. Finding that all-inclusive program has...

  • Bottleneck

    By Staff Writer

    "A bank may be said to be solvent when its assets are so constituted that a liquidation would necessarily result at least in complete satisfaction...

Beginnings

Columns

  • The Assets Clients Hide

    By Lewis Schiff

    Advanced planning for affluent clients is often like solving a puzzle. The puzzle pieces include your clients' attitudes, goals, and assets as well as extensive...

  • Exit, Stage Left

    By Mark Tibergien

    There comes that awful realization in every advisor's life when he finds himself in the netherworld between wisdom and obsolescence. It's that moment when the...

  • Difference of Opinion

    By Bob Clark, AdvisorOne, Bob Clark, AdvisorOne

    Knut Rostad is the compliance officer for Rembert Pendleton Jackson, an independent advisory firm in Falls Church, Virginia, with $700 million in AUM. Over the...

  • Making Compliance Headway

    By Melanie Waddell, AdvisorOne

    Four years since the passage of the SEC's "compliance program rule"--requiring registered investment advisors to adopt and implement compliance policies and procedures, appoint a chief...

  • Beyond E-Myth

    By Angie Herbers

    Virtually every one of my consulting engagements begins with the advisor/client asking if I've read The E-Myth. Then as I work with them, my clients...

Conclusions

Sidebar Stories

  • James P. Dew

    By Staff Writer

    Dew Wealth Management 8800 East Raintree Drive, Suite 115 Scottsdale, Arizona 85260 Phone: 480-614-9119 Web site: www.dewwealth.com E-mail: jim@dewwealth.com Year practice started: 1999 AUM: $45 million Compensation: Fees and commissions Number of clients: 200...

  • Beware the Seminar, My Son

    By Staff Writer

    Like many advisors look to build an independent practice, Jim Dew saw seminars as a great way to attract clients. As he discovered the hard...

  • Cash Camps for Kids

    By Staff Writer

    Money Camps, Inc. (www.moneycamps.com) holds events for people of all ages, especially children. Money Camps for Kids was created to introduce the world of finances...

  • Separate but Equal

    By Staff Writer

    Parents often try to "equalize" distributions to avoid upsetting their children, but you may be able to suggest a different solution that will be more...

  • "In the Know": Non-Spouse Rollovers

    By Staff Writer

    On January 10, 2007, the IRS issued Notice 2007-7, which was followed by a clarification of the Notice (February 13, 2007) due to the numerous...

  • What Troubles Investors

    By Kara P. Stapleton

    American investors have significant anxiety about the security of their investments, particularly as it relates to their retirement savings, according to a new FINRA report....

  • Ask These Questions

    By Staff Writer

    As part of your due diligence process when you are considering purchasing another firm, there are certain bits of information you must uncover. Following are...

  • Doing Due Diligence

    By Staff Writer

    An experienced due diligence questioner knows how to probe for a trading advisor's weak spots. Take Fred Gehm, a consultant to trading advisors and hedge...

  • Refereeing Sibling Bouts

    By Staff Writer

    When you're dealing with sibling friction over money, these guidelines may help steer you toward a satisfying resolution for the parties involved: 1. Assess the level...

  • "In the Know": Carried Interest and Municipal Bonds

    By Staff Writer

    When this article was being written, the debate continued in Washington regarding the tax rate on carried interest. Today, it is taxed at the capital...

  • Green Tax Benefits

    By Staff Writer

    There are several bills in Congress in various stages of debate. A few environmentally aware highlights that may affect your clients' plans include: Smaller...

  • What Color Is Your Firm?

    By Staff Writer

    The growth of financial advisory firms reveals distinct phases of firm development. We've observed that each stage has unique characteristics, challenges, and opportunities that must...

  • SEC Revising Its Exam Hotline

    By Melanie Waddell, AdvisorOne

    The government accountability Office (GAO) is advising the SEC to relocate its hotline that allows advisors to lodge complaints about an exam to an independent...

  • What Color Is Your Job?

    By Staff Writer

    Some questions to ask when making the choice whether to manage or advise: When did you last review and refine your business strategy? Is it...

  • How Does it Work, And How Do I Get It

    By Staff Writer

    The three basic factors that underwriters look at, says Bill Harrison, managing director of Aon's Crisis Management practice, are procurement, quality control, and crisis management....

  • Behind the Numbers, with Richard Bernstein

    By Kara P. Stapleton

    In a recent conference call to investors, Merrill Lynch's chief investment strategist had some comments both about equity returns and volatility. "We still expect kind...

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