Research Magazine-August 2007

Issue Gallery ›

  • Success in Profiling

    Bill Good

    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...

  • Portrait of a Rookie

    Jane Wollman Rusoff

    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...

  • The Latest Notes on ... Notes

    Staff Writer

    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...

  • SSgA Adds Bond Funds

    Staff Writer

    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

    Staff Writer

    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...

  • All-Time High

    Janet Levaux

    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...

  • Pain-Free Wealth Management

    Bill Miller

    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...

  • Closed-End Fund Becomes ETF

    Staff Writer

    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...

  • BenefitStreet ETF Debuts

    Staff Writer

    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...

  • UBS Appoints New Head

    Janet Levaux

    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...

  • Ratios Creep Up

    Staff Writer

    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...

  • What's Good for General Motors

    Alexei Bayer

    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...

  • The Art of the Referral

    Patricia J. Abram

    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...

  • To the Next Level

    Ellen Uzelac

    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...

  • Small by Design

    Alexei Bayer

    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...

  • The Retirement Toolkit

    Robert Scott Martin

    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...

  • IN BRIEF

    Janet Levaux

    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...

  • The Latest Notes on Notes

    Staff Writer

    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...

  • What Do CPAs Really Want?

    Ellen Uzelac

    When consultant Libby Dubick wrote a column recently on getting referrals from certified public accountants, she was deluged with calls and e-mail from frustrated financial...

  • Rising Fundamentals

    Staff Writer

    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...

  • Machiavelli to Macbeth

    R. Gina Renee

    "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...

  • Cr?me de la Cr?me

    Jane Wollman Rusoff

    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,...

  • Lesson 7: Annuitization

    Moshe A. Milevsky

    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...

  • A Winning Team

    Marie Swift

    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...

  • BenefitStreet to Debut iShares' ETFs

    Staff Writer

    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...

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