Research Magazine-October 2009

Issue Gallery ›

  • The Compensation Conversation

    Ellen Uzelac

    When it comes to compensation, most advisors will be delighted to put 2009 in the rear view. After all, industry experts are predicting that...

  • Roth Conversion in 2010

    Janet Levaux

    On January 1, 2010, nearly $1.4 trillion of retirement assets will become eligible to be converted to a Roth IRA. The Tax Increase Prevention...

  • Vanguard Eyes More Bond Indexes

    Staff Writer

    Vanguard has filed a registration statement with the Securities and Exchange Commission for seven new bond index funds and ETFs. The new offerings will...

  • $800 Billion to Move, According to Cerulli

    Janet Levaux

    Wirehouses are set to lose the most clients, while RIAs and dually registered advisors will be the greatest recipients, according to the research firm's latest...

  • Van Eck Ventures into Vietnam

    Staff Writer

    Van Eck Associates has just launched the Market Vectors Vietnam ETF (VNM). The fund is benchmarked to the Market Vectors Vietnam Index, which is comprised...

  • Claymore Gets Acquired

    Staff Writer

    Guggenheim Partners and Claymore Group announced they have entered into a merger agreement. As part of the transaction, Claymore Group and its associated entities including...

  • Fund Groups 'Regaining Lost Ground'

    Janet Levaux

    Through August 31, 2009, more than $226 billion flowed into U.S. open-end funds, according to the latest data compiled by Morningstar. "Fund firms are close...

  • McCann, BofA in Legal Dispute

    Janet Levaux

    Lawyers for Bank of America and former Merrill Lynch & Co brokerage chief Robert McCann have reportedly been in talks to resolve his lawsuit...

  • The Fire Next Time

    Robert Tyndall

    It's been two years since the stock market fell off a cliff in a rapid and frightening descent, losing more than 52 percent in...

  • Natural Gas ETF Hits a Wall

    Staff Writer

    Exchange-traded funds touted as a convenient way to obtain market exposure have now become an inconvenient headache. At the center of the chaos is the U.S....

  • Financial Reality TV

    Bill Miller

    Halfway through my second bag of Orville Redenbacher, my remote control and I come to the conclusion: There are reality TV shows for everyone except...

  • Gorman Tapped as Morgan Stanley CEO

    Janet Levaux

    Morgan Stanley's Board of Directors has announced that Co-President James P. Gorman will become the firm's CEO, effective January 1, 2010, while Chairman and CEO...

  • Investors Capital Finding Momentum

    Janet Levaux

    Investors Capital executives and advisors say they are well positioned for growth, the main theme of the broker-dealer's 13th annual convention held in Boston in...

  • Reading Between the Labor Dept.'s Lines

    Janet Levaux

    Phyllis Borzi, the new assistant secretary of labor and head of the Department of Labor's Employee Benefits Security Administration (EBSA) gave her first press interview...

  • Annuity Analytics: How Risky is Longevity?

    Moshe A. Milevsky

    In the practice of retirement income planning, financial advisors routinely toss around survival probabilities for clients -- "there's a 10 percent chance you'll live to...

  • Early Adopter

    Ellen Uzelac

    It's not an overstatement to say that Kip Gregory is ahead of the technology curve. In 1984, he helped build out CompuMall, one of the...

  • High Hopes and Altered Genes

    Kenneth Silber

    Biotech has long been a high-risk, high-reward industry. It is an industry in which numerous firms, including many small-caps and start-ups, intensively research possible...

  • Tweets Explained

    Bill Good

    For some months, I've been taking a close look at the social networking sites to learn enough to advise my clients how to control...

  • Leveraged, Short ETFs Under Attack

    Staff Writer

    The first iteration of leveraged and short ETFs was introduced in 2006. And from that moment, these particular ETFs have captured the fancy of investors...

  • Positive Pipelines

    Janet Levaux

    The U.S. water and wastewater sector is characterized by three major features: (1) it is municipally-dominated, (2) extremely fragmented and (3) its infrastructure is in...

  • Retirement Income Reporter: Building Trust

    Francois Gadenne

    The Harris Poll organization has a June 2009 survey showing that just one quarter of Americans say banks are honest and trustworthy. Only 13 percent...

  • Powering Up

    Janet Levaux

    A select number of companies in the energy sector are getting the attention of equity analysts thanks to their access to resources and...

  • Latin Lessons

    Alexei Bayer

    Who: Riordan Roett, Sarita and Don Johnston Professor and Director of Western Hemisphere Studies, Johns Hopkins University, SAIS Where: Occidental, 1475 Pennsylvania Avenue, N.W. Washington, D.C.,...

  • Prepare for Inflation

    Alexei Bayer

    Debt can be a tricky thing. As everyone who ever held a margin account knows, when prices of shares in your portfolio go up, the ability...

  • More Best Practices

    Patricia J. Abram

    Last month's column began our look at the best practices of elite financial advisors, as a valuable model for adopting new and better ways of...

  • High-End Service

    Jane Wollman Rusoff

    Opus Group at Morgan Stanley Smith Barney; San Francisco; AUM: $4 billion. Grant W. Lee, DIRECTOR of WEALTH MANAGEMENT, SENIOR INSTITUTIONAL CONSULTANT, CORPORATE CLIENT GROUP DIRECTOR. Tony daRoza,...

  • Citi to Sell Smith Barney Stake

    Janet Levaux

      Citigroup CEO Vikram Pandit has confirmed that the bank expects to eventually sell the remaining stake in its Smith Barney brokerage venture.  

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