Research Magazine-June 2007

Issue Gallery ›

  • Unconventional Wisdom

    Ellen Uzelac

    Quick. What's the chief quality of top advisors to the affluent? Skill? Ability? Style? It's probably not what you think. Following a two-year research-based "random walk"...

  • Morgan, Female FAs Reach $46 Million Settlement

    Janet Levaux

    Morgan Stanley's Global Wealth Management Group has settled a gender class-action lawsuit involving current and former women financial advisors and registered trainees. Under the terms of...

  • Cllient Credibility

    Staff Writer

    When it comes to the sought-after high-net-worth market, there is a great deal of research showing what kind of financial advice is preferred. Our cover...

  • Utilities Plugging Away

    Staff Writer

    Over the past few years, the dull utilities sector has been turning heads with stock market performance that's been anything but boring. Through the first quarter...

  • Vanguard Moves to Simply, Drop Charges

    Janet Levaux

    It's spring-cleaning time for fees at Vanguard. This month, the fund giant will charge clients a flat $20 yearly fee on accounts with balances under...

  • Bond iShares Get Competitive

    Staff Writer

    Over the past several years Barclays Global Investors (BGI) has been the lone provider of U.S.-listed bond ETFs, but now they've got company. In April, the...

  • Adding ETFs to Managed Accounts

    Staff Writer

    Securian Financial Services has introduced a new investment platform that uses exchange-traded funds. Dubbed "Securian Signal," the new managed accounts marry index investments with strategic...

  • How You Are Heard

    Staff Writer

    Strong communication skills are imperative to success in the financial planning industry. Whether it's prospecting new clients, working well with employees, or dealing with vendors,...

  • More Politicians Call for Iran Diverstment

    Janet Levaux

    Ohio State Reps. Shannon Jones and Josh Mandel are pushing for state legislation that would prohibit some state investment funds from owning shares of companies...

  • WisdomTree Targets 401(k) Plans

    Staff Writer

    Despite the mutual fund industry's domination of the 401(k) business, ETF insiders seem intent on giving them a run for their money. WisdomTree Investments has announced...

  • Fidelity Stages New Ad Push

    Janet Levaux

    There's no "talk to Chuck"-type message in Fidelity's latest branding campaign. Rather, the unspoken message is, "Talk to each other." "We've always known that talking about...

  • The New Recruiter

    Bill Miller

    One of the toughest jobs in the financial services industry has to be that of the financial advisor recruiter. Typically, the FA recruiter is a...

  • Why and How to Educate Your Next Client

    Bill Good

    From 1995 to 2004, the Securities Industry Association conducted an annual survey of investor attitudes. According to the 2004 report on the survey: "84 percent think...

  • The Independent Advantage

    Ellen Uzelac

    If you're an independent advisor, take a few seconds and feel the love. Industry research shows that more investors who chose an advisor within the...

  • Joy, Fun - Season in the Sund

    Jane Wollman Rusoff

    BlackBerry-less in the land of grapevines and olive trees -- that's wine connoisseur Peter S. Izzo's idea of a dream vacation. And this July he'll...

  • Focus on Claymore

    Staff Writer

    Having launched nine exchange-traded funds over the last few months, Claymore Securities has been one of the busiest ETF issuers of 2007 so far, and...

  • The Prospect of Discovery

    Patricia J. Abram

    Do you genuinely look forward to the prospect of discovering a great deal about many aspects of your clients' lives? To finding out not just...

  • 'Income in Repect of a Decedent'

    Marie Swift

    James W. Coleman Sr., president of Coleman Financial Advisory Group in Waterbury, Conn., is on a mission -- and he thinks you should be too....

  • The Independents' Voice

    Robert Scott Martin

    Research: In your opinion, what are the strengths of the independent advisory model? Brown: A couple of things come to mind. As the label says, it's...

  • The Right Prescription

    Staff Writer

    As baby boomers age, drug retailers should see rising pharmacy use and growing sales in coming years, analysts say. John W. Ransom Raymond James Associates 727-567-2593 John.Ransom@RaymondJames.com Area of Coverage:...

  • In Brief

    Janet Levaux

    Fidelity Investments is re-aligning the firm's distribution, operations and administrative functions to meet the needs of its increasingly diverse customer base, the company says. As a...

  • Test Your CPI-Q

    Alexei Bayer

    Not long ago, telling someone they looked like a million dollars was a compliment. Say it now and they might rush to schedule an emergency...

  • Steady at the Helm

    Jane Wollman Rusoff

    As Winston Churchill crisply summed up: "The question which we must ask ourselves is not whether we like or do not like what is going...

  • Moving from the Boiler Room ... to the Living Room

    Mitch Anthony

    A recent Research magazine cover ("Fee-Based Business," February 2007) displayed a numerical reality check for the financial advice profession regarding the migration toward fee-based practices....

  • Among IBDs, a Blue Chip Choice

    Alexei Bayer

    Breaking with an already established tradition, I meet Larry Roth not at the restaurant where we were going to have lunch, but at Royal Alliance's...

  • Job Growth Takes a Break

    Janet Levaux

    Financial firms shed 11,000 workers in April 2007, reports www.BrokerHunter.com. This job trimming occurred mostly in commercial banking and real estate. The securities industry did...

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