Research Magazine February 2008

Features

  • Out to Lunch

    Compete or comply? When it comes to the tried and true marketing strategy of meal-included seminars, FAs are feeling the heat of an intensifying spotlight...

  • A Plan for the Planners

    Succession planning has never been at the top of most advisors' hit lists. As Tim Edwards, a principal with Prospera Financial, puts it: "It's one...

  • The Ticker's Rise and Fall

    Within the living memory of some financial market professionals today is a technology that was crucial to stock trading from not long after the Civil...

News

  • Focus on FTSE

    The FTSE Group is a world leader in the creation and management of equity, bond and hedge fund indices. Their indices are used for investment...

  • XShares and RPG Target 401(k) Plans

    XShares Advisors, sponsors of the TDAX, Adelante and HealthShares ETF families, has entered into a strategic partnership with retirement plan services vendor RPG Consultants in...

  • Bad News for Currency ETNs

    The tax advantage of exchange-traded notes (ETNs) linked to currencies has evaporated and the status of notes linked to commodities and stocks remains in limbo. In...

  • Are Active ETFs on the Horizon?

    According to a late November SEC filing, PowerShares Capital Management could be gearing up to launch four actively managed exchange-traded funds:o PowerShares Active AlphaQ Fundo...

  • Year of the Bond ETF

    With so much happening in all directions, last year was insane for the ETF industry, even in relatively staid areas like fixed-income. The number of...

  • Presidents Day

    The vast majority of readers probably remember the February of their primary school years as a time to recall the greatness of George Washington, whose...

  • Results Are in for Top Funds, Managers of 2007

    With 2008 shaping up to be a year with at least as much market uncertainty as 2007, several trends from last year may offer advisors...

  • Emerging Markets Dominated Inflows in 4Q07

    "The broadest, most distinct theme of 2007 has been the record strong inflows into global and emerging-market equity funds," says Brad Durham, managing director of...

  • ICI Stydy Shows Steady Industry Improvement

    The latest annual survey of some 4,000 U.S. households finds 20 percent view the mutual fund industry very favorably, up from 19 percent a year...

  • IN BRIEF

    Vanguard says it had a banner 2007 with close to $1.3 trillion in mutual fund assets and is ready for a strong 2008. Vanguard introduced three...

  • Executive Shifts, Write-Downs Continue

    Just weeks after the departure of former Merrill Lynch CEO Stan O'Neal, news reports have circulated that Mac Gardner, head of global wealth management for...

  • SEC Releases RAND Report; Industry Groups Share Concerns

    The Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...

  • Smith Barney Team Turns Biz Contacts into Results

    As subprime-related woes continue to disrupt the financial-services industry, financial markets and the broader economy, a Smith Barney team with three advisors and two associates...

  • Constructive Engagement

    It's a well known that investors love steady returns and hate surprises. With more media scrutiny of Wall Street than ever and news reaching investors...

  • Better Credit Quality

    There are investment opportunities for those willing to do their homework in the banking sector in 2008, analysts say. --- Samuel Caldwell, CFAKeefe, Bruyette & Woods404-231-6542scaldwell@kbw.com Outlook: We...

  • In the Family

    Research: What exactly is FOX and what do you do?Benevides: At our core, we are a research and advisory firm that provides service to a...

  • An Advisor's Advisor

    Ask not what your clients can do for you -- ask what you can do for your clients. That variation on a John F. Kennedy theme...

  • An Advisor's Resource

    When Janet Schaefer's father died, the former health care administrator jumped in to help her elderly mother wade through mounds of paperwork. Where were the...

  • A Retirement Risk Matrix

    Traditionally, financial companies and financial advisors have asked the following question of investors: "What is your tolerance to the variance of returns of risky assets?"...

Voices/Columnists

  • Growing Pains

    There are several paths to building a bigger business. But they all boil down to these two things:1. More assets2. More time is spent with...

  • Love Is in the Air

    No month shouts "LOVE" like February. If you happen to sell roses, or your last name is Hallmark, you know what I'm talking about. The...

  • Too Much of a Good Thing

    Baby boomer clients preparing to retire within the next 10 years may soon be faced with a problem regarding their stock holdings. That problem is...

  • Back on Track

    In 2007, CEG Worldwide undertook an extensive study of 2,094 financial advisors across all three channels -- registered investment advisors (19.8 percent of those studied),...

  • A Game Plan for Longevity

    Alexander Shaknovich doesn't break for lunch. A Harvard-MIT trained cardiologist, his career includes a position as Chief of Interventional Cardiology at New York Hospital-Cornell Medical...

  • Ready for Cheap Oil?

    The current trouble in global financial markets represents a correction in the overbought U.S. real estate market, but it is a more serious and broadly...