Research Magazine-October 2008

Issue Gallery ›

  • Bailouts & Benefits

    Staff Writer

    Prevention is the best cure. Turning off the credit spigot in time would have been the most effective way to prevent the current financial meltdown....

  • A Bridge of Understanding

    Mary Scott

    Mitch Anthony, an industry leader in relationship skills, has long noted the transformation of the industry from being product-oriented to client-oriented. In his new book,...

  • Fred Alger Shifts Brands, Consolidates Funds

    Janet Levaux

    Fred Alger Management, which has some $14 billion in AUM, has recently consolidated its open-end mutual funds under the "Alger" brand. This move includes the...

  • Credit-Crisi Fallout and Financials

    Staff Writer

    Financials are the home of the country's scariest roller coaster ride. Furious down days are followed by hope filled rallies. The government has tried everything...

  • ETF Assets Decline by $32 Billion

    Staff Writer

    According to the Investment Company Institute (ICI), the combined assets of U.S. exchange-traded funds fell $32.25 billion to $578.07 billion in June. Even though this is...

  • Fund Firms Embrace Treasury Program

    Staff Writer

    In a move to boost investor's confidence in money market mutual funds, major fund companies have met the U.S. Treasury's October 8 deadline by joining...

  • LPL Financial Has a New CFO

    Janet Levaux

    LPL Financial has appointed Robert Moore to serve as its new CFO. He succeeds Bill Maher, who had been with the company since 2005 and...

  • Meet the Rich

    Mary Scott

    How do the most affluent, the top 20 percent (quintile), think? What motivates them? Industry consultant Matt Oechsli addresses these issues in his newest title:...

  • Five Questions for the Retirement Advisor

    Staff Writer

    David Aigner, Morgan Stanley Global Wealth Management Group, Senior Vice President/Financial Advisor, Houston 1. What has hit you or your clients out of left field, and...

  • Rydex to Help FAs with New Infomation Push

    Janet Levaux

    Rydex Investments is rolling out a campaign for financial advisors that focuses on how alternative investments can be added to a portfolio to achieve true...

  • New CEOs at Vanguard, Pimco

    Janet Levaux

    Bill McNabb has succeeded Jack Brennan as Vanguard's CEO, making him the third CEO in Vanguard's 33 years as an investment firm. Brennan remains chairman...

  • VAs: What's New?

    Staff Writer

    Variable annuities have undergone and are still undergoing constant improvement, experts say, and a more advisors than before are willing to consider them for clients. Research...

  • Van Eck Launched Mideast ETF

    Staff Writer

    When it rains it pours. And lately, it's been pouring Middle East-focused exchange-traded funds. Van Eck Global is the latest provider to introduce an ETF focused...

  • Is Cuomo Hurting Wall Street?

    Janet Levaux

    Is Cuomo Hurting Wall Street? While New York Attorney General Andrew M. Cuomo and the wirehouse broker-dealers say they are "pleased" with their recent ARS settlements,...

  • And They're Off!

    Bill Good

    Are they horses or wholesalers? That was my first thought as I entered the hotel lobby for my broker-dealer's most recent national conference. The room...

  • The Mutual Benefits of 401(k) Plans

    Ed McCarthy, CFP, RICP

    For many employees and executives, their 401(k) plans have become a large part of their retirement savings. The plans are also important for employers, though,...

  • JPMorgan Expert: Watch 401(k) Loans!

    Janet Levaux

    Anne Lester, managing director and senior portfolio manager for the global multi-asset group of JPMorgan Asset Management, recently co-wrote a report on market volatility and...

  • SPDRs Target International Sectors

    Staff Writer

    State Street Global has unveiled 10 new SPDR exchange-traded funds. The new set of ETFs provides exposure to international industry sectors. Each ETF is linked...

  • REITs: Worth Another Look?

    Staff Writer

    Investors have traditionally flocked to real estate investment trusts (REITs) for dividends, but over the past few years they've been getting a lot more: capital...

  • ING Pushes Its Portfolios

    Staff Writer

    As the boom in the number of exchange-traded funds (ETFs) and exchange-traded notes (ETNs) continues, another related boom is happening: model portfolios that utilize these...

  • As Goes Lehman, So Go Its ETNs

    Staff Writer

    The stunning collapse of major financial institutions like Bear Stearns and Lehman Brothers Holdings has heightened the scrutiny of obscure financial products issued by these...

  • Fundamentals Deliver Mixed Results

    Staff Writer

    Is fundamental indexing a better way to invest? A quick gander at the industry-sector exchange-traded funds following these alternative indexing strategies reveals a mixed bag in...

  • What Would Graham Say?

    Staff Writer

    Who would've thought to package the value-oriented investment philosophy of the famed Benjamin Graham into an index based financial product? Never short on ideas, Wall Street...

  • Get Published!

    Bill Good

    Speaking of credibility, let me just get mine out of the way. Since January 1984, I have had an article published in a major trade...

  • Advisors in Motion

    Ellen Uzelac

    Wall Street's ugly industry stumbles will likely result in a stream of broker defections next year as advisors seek to distance themselves from sullied firms...

  • The Investment Classics

    Kenneth Silber

    In the middle decades of the 20th century, investment strategy took on a newly serious demeanor. Stock picking began to be something investors could think...

  • Waiting for the Other Shoe to Drop?

    Alexei Bayer

    I chose this elegant eatery near the World Financial Center and half a mile uptown from Wall Street for a reason. A little more than...

  • Balance Sheet Structure

    Francois Gadenne

    Some questions bring into sharp focus the difference between investing for accumulation versus investing for retirement income. For example, a key question to consider is: Should...

  • Universal Standards

    Marie Swift

    In my last article, I relayed the startling statistic that by the end of this year, the number of non-U.S. CFP certificants will almost surely...

  • How the Election Will Affect the Markets and Economy

    David J. Drucker

    McCain or Obama? Prosperity or recession? Do characterizations by party affiliation still hold water? Not necessarily. We've seen Democratic presidents accumulate impressive budget surpluses, and Republican...

  • Significant Value

    Staff Writer

    Commodity prices may shift in the short term, but the long-term demand outlook for energy and new deals are steadily propelling the sector in positive...

  • Greenspan's Legacy

    Alexei Bayer

    A newspaper story once alleged that some traders at a Wall Street brokerage house had a shrine dedicated to Federal Reserve chairman Alan Greenspan, in...

  • Are You a Stock or a Bond?

    Moshe A. Milevsky

    Pensions Are Dying; Long Live Pensions"...At present, the only way a company can manage the risk of long-lived workers is to work them so hard...

  • Carry the News

    Ellen Uzelac

    When marketing consultant Peter Kaufman talks to financial advisors about what makes them different, he often gets this response: "I'm not like other advisors. I...

  • Mind Over Money

    Jane Wollman Rusoff

    In Act I of his career, James Grubman, Ph.D., collaborated with physicians to help patients battling the psychological stresses of head injuries, strokes and chronic...

  • Claymore ETF Changes Index

    Staff Writer

    The Claymore/BBD High Income Index ETF (LVL) has changed its name and underlying index. The fund has been renamed the Claymore S&P Global Dividend Opportunities...

  • Fidelity Study Highlights Workplace-Savings Trends

    Janet Levaux

    Fidelity Investments says that during the first half of 2008, American workers are continuing to contribute to their workplace-savings plans despite current market volatility. Plus,...

  • Expenses Steady in Q2

    Staff Writer

    During the second quarter, the expense ratios in most exchange-traded fund (ETF) and exchange-traded note (ETN) asset categories increased modestly or remained the same from...

  • UBS Restructures, Tweaks Compensation

    Janet Levaux

    Following a second-quarter loss of about $330 million, UBS says it will separate its business divisions into three separate units, with each having more operational...

  • Financial Eminences

    Staff Writer

    Autumn is back-to-school season, a time to hunker down in a library or your personal study with a good book and caffeinated beverage of your...

  • Morgan Stanley Targets Native Americans

    Janet Levaux

    Marketing/High-Net-WorthMorgan Stanley Targeting Native-American Clients Morgan Stanley says it has hired a team to serve high-net-worth clients in the Native American market. Based in Los Angeles,...

  • How Prepared Are You?

    Ed McCarthy, CFP, RICP

    A recent survey of registered investment advisors by Spectrem Group of Chicago for Ameritas Advisor Services found that although 63 percent of advisors expect retirement...

  • ARS Deals Reached with Cuomo, Others

    Janet Levaux

    Merrill Lynch, UBS, Wachovia, Citigroup, Morgan Stanley and other firms recently resolved a series of issues with New York Attorney General Andrew Cuomo and other...

  • Go Global

    Staff Writer

    The 19th-century American catch phrase "Go West, young man" is attributed to New York newspaper editor Horace Greeley, who used it in an 1865 editorial....

  • Vision and Execution

    Patricia J. Abram

    Albert Einstein once famously said, "Vision without execution is hallucination." It's equally true, however, that "Execution without vision is chaos." These principles are two sides...

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