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Financial Adviser Spectrum in a Nutshell - Ezine Article

Tuesday, March 31, 2009

I recently published another article to Ezine Articles. It is a high-level description of the various ways a financial adviser can be compensated. The URL for the article is: http://ezinearticles.com/?The-Financial-Adviser-Spectrum-in-a-Nutshell&id=2092110.

In brief:

Broker or Registered Rep = compensated via commissions from the sale of financial products, i.e. securities, insurance policies, etc.

Fee-based financial planners/advisers = compensated through a combination of commissions and fees charged directly to customers

Fee-only financial planners/advisers = compensated entirely through the fees charged directly to customers

For more detailed information, check out the article.

Tags: adviser compensation, advisor compensation

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Jon Stewart as Fiduciary?

Thursday, March 26, 2009

Bob Veres - who is a titan in the financial planning world - was recently interviewed on MorningstarAdvisor.com (subscription required).  Much to my surprise, he was asked about the recent exchange between Jon Stewart and Jim Cramer.  It surprised me to see pop culture enter this realm, but that particular episode of The Daily Show has obviously transcended the mainstream.

First let me say that I respect the fact that Jim Cramer showed up for the show.  He didn’t have to, and the original shot that Stewart took was not even aimed at Cramer.  Furthermore, as Stewart freely admitted, his show takes its shots and makes light of things in a way that may or may not be accurate or truthful.  The point is to be funny, not to deliver news in any kind of balanced manner.  All of that aside, it was clear in the unedited version of this that Cramer bowed to Stewart on just about every point.  Why?  I don’t know, but I do think that the main thrust of Jon Stewart’s “attack” was right on the money:  this is not a game for most Americans.  As Bob Veres replied in the Morningstar Advisor interview, “Stewart is speaking the language of the fiduciary financial planner. He is pointing out to the media that this is not entertainment, its people’s lives. What Jon Stewart is getting at, and what planners get at instinctively is that money runs much deeper than the numbers, the entertainment value and the news. It is tied up with our psychology, ambitions, and goals–everything that we are as people. Treating it as anything less is trivializing it in a very dangerous way. The market does what it does and the financial media has just become an echo chamber.”

Well said.

Tags: jon stewart, fiduciary

General | Fiduciary Standard

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Historic S&P Run

Monday, March 23, 2009

I’m not sure whether to be amazed or hugely skeptical. Actually, I am sure that a healthy dose of skepticism is in order. About what, you ask? The S&P 500 just completed its biggest ten-day run-up since 1938, after gaining over 7% today.

What does it mean? Some pretty smart people are suggesting that a new bull market has begun. Right now I think it means that we’ve had a couple of very good weeks in the market, and there have been obvious catalysts that have injected some optimism into the financial world. It is now hard to imagine credit markets not loosening, but there remains a ton of uncertainty out there, and I’m not a “true believer” in the bull market theory yet.

I remain an optimist about the long-term prospects for our country, however.

Tags: bull market, s&p 500

Stocks

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Overview of the First-Time Homebuyer Credit

Thursday, March 19, 2009

In a previous post, I ruminated about what type of person was in a good position to take advantage of some of the financial incentives the government was offering. Things have changed a lot since then, and some of those incentives have evolved. The homebuyer credit I referenced at that time did not change, but it was enhanced for purchasers of homes in 2009. For instance, buyers in 2009 will be eligible for an $8,000 tax credit, up from $7,500 in 2008. Of bigger import, while the 2008 credit was essentially a loan that had to be paid off over 15 years, taxpayers who qualify for the 2009 credit will not have to pay off the loan unless they sell the house within three years of purchasing it.

Quick review: a tax credit is a dollar for dollar reduction in taxes owed. So if you complete your return and find that you’ve paid the IRS $6000 throughout the year through withholding, and now owe an additional $3000, a credit of $8000 would entitle you to a refund of $5000. In other words:

Owe

$9000

Less

$8000 credit

Net owed

$1000

Paid

$6000

Refund

$5000

 

Restrictions

  • The credit will not exceed 10% of the purchase price of the home; it is up to $7,500/$8,000 based on whether or not the purchase price exceeds $75,000/$80,000.
  • The primary home must be in the US.
  • The primary home must have been purchased by the taxpayer, i.e. it cannot have been inherited or gifted to them.
  • The primary home cannot have been purchased from a “related” person – husband/wife, parent, grandparent, child, grandchild.
  • The taxpayer must be a US citizen or a resident alien with an Individual Taxpayer Identification Number.
  • The purchase date of house must be between April 8, 2008 and November 30, 2009.
  • The taxpayer cannot have owned a primary residence for three years prior to the date of purchase, although owning a home prior to the three year period does not disqualify him or her.
  • Income limits: full credit is available for single taxpayers with a modified adjust gross income (MAGI) up to $75,000 and married couples filing jointly with a MAGI up to $150,000. The credit phases out for taxpayers making more than that and is wholly unavailable for single filers making more than $95,000, and married filing jointly filers making more than $170,000.

Mechanics

  • If the home is purchased in 2009, the credit can be claimed on either the 2008 return (or amended return) or the 2009 return. This is a nice feature that allows for some strategizing.
  • Use Form 5405 to claim the credit.
  • Repayment for 2008 “credits” will be repaid in 15 equal installments on an annual basis.
  • Payments begin in 2010.
  • If the taxpayer dies, the remaining balance is forgiven, although a surviving spouse would have to continue paying ½ of the balance due.
  • If the home is sold or otherwise ceases to be the primary residence within the 15 year repayment period, the balance becomes due.

Summary of differences between 2008 and 2009

 


2008

2009

Maximum credit

$7500 for married filing jointly

 

$8000 for married filing jointly

Payback period

15 years

N/A if house remains primary home for 3 years following purchase

Income limit for full credit

$75,000 for individual taxpayers; $150,000 for married filing jointly

$75,000 for individual taxpayers; $150,000 for married filing jointly

 


 


 


 

For additional information, see the First-Time Homebuyer Credit Information Center on the IRS web site.

Tags: first-time homebuyer, tax credit

Real Estate | Taxes

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Berkshire Skyrockets, and...Who Cares?

Wednesday, March 11, 2009
In the latest sure sign that the financial apocalypse is upon us, Berkshire Hathaway increased almost 20% yesterday and I didn’t even get excited.  I’m a bit more excited today that it only dropped back a few points.  Still…I’m a long way from trusting that the market is heading north.

Tags: berkshire hathaway

Stocks

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