Research Magazine-October 2011

Issue Gallery ›

  • Where’s Your Compensation Heading?

    Ellen Uzelac

    Most financial advisors expect to see a spike in revenue in 2011 but continuing market volatility and a growing unease over Washington have put a chill on any unfettered enthusiasm.

  • Worst Practices

    Bill Good

    This is supposed to be an article about “best practices.” However, given the fact that there is not a whole lot of prospecting going on, I’m…

  • Graham ETNs Redeemed

    Ron DeLegge

    While Benjamin Grahams deep value strategy for selecting stocks lives on, exchange-traded notes (ETNs) that attempted to mimic him wont.

  • IRA Rollovers & Relationships

    Janet Levaux

    A report released in early September by Spectrem focuses on a survey of nearly 1,000 investors who had recently made a rollover or had the opportunity to rollover assets, and found nearly one-third chose Fidelity as their IRA provider. Vanguard was a distant second at 11 percent.

  • ETF Inflows to Hit $100 Billion

    Ron DeLegge

    Despite a sluggish U.S. economy and the governments debt crisis, the brisk pace of investment dollars flowing into ETFs continues.

  • The Courage to Invest

    Robert Tyndall

    The very first Borders in Ann Arbor, Mich., was officially closed at press time, and further closures of the bankrupt chain are gaining pace. It seems…

  • Emerging Global Builds Lineup

    Ron DeLegge

    According to the press release, INCO is the first of several India-focused sector funds that Emerging Global Advisors plans to launch this year.

  • Van Eck Acquires 6 HOLDRS

    Ron DeLegge

    Van Eck Globals Market Vectors ETF Trust is planning to exchange shares of soon-to-be-launched Market Vectors ETFs for shares of six Merrill Lynch HOLDRS. The exchange offer is scheduled to be completed in the fourth quarter of 2011.

  • BlackRock Adds Target Date ETFs

    Ron DeLegge

    BlackRock introduced the iShares MSCI Emerging Markets Small Cap Index Fund (EEMS), iShares S&P Target Date 2045 (TZW) and iShares S&P Target Date 2050 (TZY).

  • Are Europe’s Bank Notes Safe?

    Ron DeLegge

    Firmly established in Wall Streets rich history are financial products which are sold as safe that turn out to carry risk reminiscent of a slot machine gamble.

  • Energy: Ramping Up

    Ed McCarthy, CFP, RICP

    Selman AkyolStifel Nicolaus(314) 342-2158 akyols@stifel.comAtlas Pipeline Partners LP (APL) announced 2Q11 results, reporting distributable cash flow (DCF)…

  • Water: Water Stocks Still Sparkle

    Ed McCarthy, CFP, RICP

    James O. LykinsJ.J.B. Hilliard, W.L. Lyons, LLC(502) 588-1799jlykins@hilliard.comAmerican Water Works (AWK) reported ongoing Q2’11 EPS of $0.46 versus…

  • Bold Forecasts but Timid Choices

    Bob Seawright

    WHEN I WAS MUCH YOUNGER and new to working in the capital markets, an excellent mentor taught me a market maxim that has served me well. More money has been lost because of four words than at the point of a gun. Those four words are This time is different....

  • Ramping Up

    Ellen Uzelac

    Aa a Certified Financial planner back in 1990, Spenser Segal ran a retirement plan projection for a couple in their mid-50s who thought they had done everything right. Theyd saved $500,000. They had no debt. But it wasnt enough to support the retirement they had dreamed about. The look in...

  • Alternatives All the Rage

    Janet Levaux

    New research has found that 78 percent of all advisors are using alternative investments within client portfolios, according to Cogent Research, mainly for diversification and with some variation related to channel differences and other factors.

  • Ladenburg Thalmann to Buy Securities America

    Janet Levaux

    Ladenburg Thalmann said that it planned to pay Ameriprise Financial $150 million in cash for Securities America in late August. In addition, the Miami-based broker-dealer says it will pay up to $70 million in 2012 and 2013 in so-called earn-outs, as the firm explained in an SEC report. Plus, Ameriprise...

  • Krawcheck Out in BofA Reorg

    Janet Levaux

    Bank of America said in early September that wealth-management head Sallie Krawcheck was leaving the company as part of a major reorganization of the bank and its operations.

  • UBS Cutting Staff, But Recruiting FAs

    Janet Levaux

    UBS said it planned to cut staff by 3,500, or more than 5 percent of its global workforce, as part of its overall plan to trim about $2.5 billion from its yearly expenses by the end of 2013 to improve operating efficiency, the company explained in late August. About 10...

  • Do Credit Ratings Matter?

    Ron DeLegge

    Over the past few years, credit rating agencies have done a lot to diminish their credibility. Not only did they contribute to the Great Meltdown by inaccurately rating debt, but they have allowed the role of credit ratings to become murkier. What do the ratings now mean for financial advisors...

  • Fading Superpowers

    Alexei Bayer

    After the Cold Wars end, the paths of the two former enemies should have diverged dramatically. No longer locked in a nuclear rivalry known as Mutually Assured Destruction, or MAD for short, each should have been going its own way: the United States to enjoy the fruits of victory and...

  • The New Wave of Active ETFs

    Jane Wollman Rusoff

    That new kid on the block with the monogram ETF isnt just passing through town the exchange-traded fund is here to stay. And whats been hyped for three years as the next big thing in the hot ETF market, actively managed ETFs, may soon spark major change, when Pimco...

  • It’s About Timing

    Bill Miller

    When I was in training to be a financial advisor the world was a different, safer place. I was taught the adage, Its not about timing the market; its about time in the market. Much like being in a cult, this sage piece of advice was burned into my...

ThinkAdvisor Newsletters

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2020 ALM Media Properties, LLC. All Rights Reserved.