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9780966974508

Due Diligence: The Individual Trustee's Guide to Selecting and Monitoring a Professional Investment Adviser

by ; ;
  • ISBN13:

    9780966974508

  • ISBN10:

    0966974506

  • Format: Paperback
  • Copyright: 1999-07-01
  • Publisher: Ardman Regional Ltd
  • Purchase Benefits
List Price: $19.95

Author Biography

Christopher Carosa, CTFA is a partner in Carosa, Stanton and DePaolo Asset Management, LLC, a Registered Investment Adviser specializing in private portfolio management for individual trustees seeking a conservative long-term investment philosophy. He is also a Certified Trust and Financial Adviser and served as Executive Vice President and Senior Trust Officer for the trust company affiliate of a major investment adviser.

Table of Contents

p. 1
The Role and Responsibilities of the Individual Trustee
p. 5
The Individual Trustee's Greatest Liability: Establishing the Appropriate Investment Goal
Common Investor Mistakes
A Better Way
Converting Lifetime Dreams to Investment Goals
p. 24
Matching Your Investment Goal to an Investment Philosophy
First: Eliminate the Obvious
Next: Avoid the Seven Deadly Sins
Incorporating Useful Generic Investment Principles
One Final Word About Risk
p. 33
Selecting the Money Manager: Character Does Count!
The Definition of a Professional Money Manager
The Background Check
The Interview Agenda
Warning Phrases to Watch Out For
Why is Character Important?
Making the Selection: One or Multiple Money Managers?
p. 49
Monitoring the Money Manager: Character Still Counts!
Revisiting the Investment Goal
Revisiting the Money Manager Selection
Some Revealing Questions
p. 55
The Role of Performance Results (A.K.A. Does the Past Mean Anything?)
Revisiting a Common Mistake: Chasing Performance
A Helpful Rule of Thumb
p. 60
Summing It Up: Read This First to Find Out How the Story Ends Without Knowing Why it Began in the First Place
Your Own IRA Rollover
Your Firm's 401k Profit Sharing Plan
The CSA Endowment
Your Client's Estate
Your Father's Charitable Remainder Trust -- A Split-Interest Trust
Appendix 1p. 120
Sample Goals
p. 124
When and How to Use an Investment Consultant
p. 128
Important Forms and Checklists for the Individual Trustee
Bibliographyp. 159
Table of Contents provided by Syndetics. All Rights Reserved.

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