Research Magazine August 2007

Features

  • Machiavelli to Macbeth

    "When taking a state, a conqueror must arrange to commit all his cruelties at once," writes 16th century Italian political philosopher Niccolo Machiavelli, "but benefits...

  • Portrait of a Rookie

    Jerry's Famous Deli, a popular TV and movie industry hang-out in Los Angeles' San Fernando Valley, is jammed every lunchtime. Right next door, on bustling...

News

  • The Latest Notes on Notes

    Barclays Global Investors was among the earliest providers of exchange-traded funds (ETFs) in the U.S. market, but now has its sights set on another cutting-edge...

  • BenefitStreet ETF Debuts

    The $2.5 trillion 401(k) business is up for grabs, and high-level scrutiny has presented ETF providers an opportunity to capitalize on this traditionally mutual fund-dominated...

  • Closed-End Fund Becomes ETF

    The vast majority of the exchange-traded universe's spectacular growth is coming from new product offerings, but other types of financial products may be joining the...

  • Ratios Creep Up

    While exchange-traded funds (ETFs) continue to be a good deal for financial advisors and their clients, expenses aren't as cheap as they used to be. The...

  • The Latest Notes on ... Notes

    Barclays Global Investors was among the earliest providers of exchange-traded funds (ETFs) in the U.S. market, but now has its sights set on another cutting-edge...

  • BenefitStreet to Debut iShares' ETFs

    The $2.5 trillion 401(k) business is up for grabs, and high-level scrutiny has presented ETF providers an opportunity to capitalize on this traditionally mutual fund-dominated...

  • SSgA Adds Bond Funds

    State Street Global Advisors (SSgA) recently launched five fixed-income ETFs based upon one Barclays and four Lehman bond indices; investors may cheer the offerings' lower-than-average...

  • Lessons from a Young Broker

    Every investor dreams of getting in on the next Microsoft on the ground floor -- just before it's taken off. And every brokerage firm is...

  • Morningstar '07 Confab Draws Crowd of 1,500

    Fund managers speaking at the Morningstar Investment Conference 2007 -- held June 27-29 in Chicago -- say this year is a time to watch out...

  • IN BRIEF

    Chicago-based Nuveen Investments says it is being acquired by a private-equity group led by Madison Dearborn Partners, LLC. As part of the deal, Nuveen stockholders...

  • Merrill's McCann Speaks Out on FAs, A.G. Edwards and Rule 202

    What is that status of Merrill Lynch's private client group?If you take a long-term perspective, the business was restructured and repositioned between 2001 and 2003....

  • UBS Appoints New Head

    On July 5, the UBS board of directors appointed Marcel Rohner as the company's group chief executive officer, succeeding Peter Wuffli. Rohner has been chairman...

  • MSC Boosts Assets; Commonwealth Recognized by Pubs

    Mutual Service Corporation (MSC) reports that it has increased its advisory assets under management by more than 20 percent, from $5.1 billion in August 2006...

  • All-Time High

    June 2007 saw an increase of over 10,000 new jobs in our industry, says Jeff Testerman, vice president of BrokerHunter.com. This is the biggest increase...

  • Rising Fundamentals

    Gold producers could benefit from increasing prices in the second half of the year, analysts say. oooooooo Oscar CarbreraGoldman Sachs212-357-4290Oscar.Cabrera@gs.com Coverage: Metals and Mining: Precious Outlook: We remain bullish...

  • The Retirement Toolkit

    Research: How do advisors need to change their business model as their client mix moves from a predominantly accumulation-oriented population toward distribution?Lofties: The wealth management...

  • Cr?me de la Cr?me

    A smart and pithy saying goes: We create our own opportunities. Wiser still is the person who seizes only the best of them. Michael Rogers,...

  • To the Next Level

    Shortly after Scott Romine was tapped as the chief executive officer of National Planning Corp. in May, he conducted a much anticipated conference call with...

  • Lesson 7: Annuitization

    The "A" word strikes fear into the hearts and wallets of advisors throughout the financial services industry. Irreversibly handing over a lump sum of money...

Voices/Columnists

  • Success in Profiling

    Let's define "profiling" as the process of gathering data about someone (ideally a current or prospective client) in sufficient depth to understand where they are...

  • Pain-Free Wealth Management

    Inspiration often appears in the strangest places. For me, it recently revealed itself at my son's dentist appointment. In order to cure a watermelon-sized abscess...

  • A Winning Team

    One of my old mentors had a favorite definition of "T.E.A.M." -- Together Everyone Achieves More. Holding true to this mantra over many years played...

  • The Art of the Referral

    Recently, after listening to me speak about the referral process, several advisors privately admitted that although they work by referral only, they could not recall...

  • Small by Design

    As we confirm our lunch appointment, Ted Charles comments on the famous selection of wine at 21 Club. We commiserate with one another that we...

  • What's Good for General Motors

    When Chrysler, the No. 3 Detroit automaker, was teetering on the brink of bankruptcy in 1979, the Carter administration stepped in with $1.2 billion in...