Research Magazine-September 2012

Issue Gallery ›

  • Three Advisors, Three Stories

    Ellen Uzelac

    When Louis Berger and his partner founded their RIA, Washington Square Capital Management, in New York City in 2009, they had to adjust their mindset.

  • Advisor Group to Acquire Woodbury

    Janet Levaux

    Advisor Group, part of the SunAmerica Financial Group, said in late July that it planned to buy Woodbury Financial Services from The Hartford.

  • Fidelity DC Sales Up 36%

    Janet Levaux

    Fidelity Investments said in early August that it had defined-contribution sales commitments of about $25.2 billion in assets under administration for…

  • We Have Not Been Saved

    Gil Weinreich

    While Nouriel Roubini or Jeremy Grantham can be counted on to deliver prophecies of doom dressed up in the dismal prose of the economics profession, the original doomsayerthe prophet Jeremiahexpressed himself far more vividly, and his poetry speaks to our times.

  • InvescoPowerShares Adds DWA Technical ETFs

    Ron DeLegge

    The PowerShares DWA SmallCap Technical Leaders Portfolio (DWAS) became the fourth ETF that Invesco PowerShares linked to the DWA Technical Leaders strategy, from Dorsey Wright.

  • ProShares Unveils Financial ETFs

    Ron DeLegge

    ProShares recently unveiled two industry sector ETFs that offer 300% daily leverage and inverse exposure to financial stocks.

  • Calculating the Tab

    Ellen Uzelac

    What does it cost to get the door open as an independent advisor?

  • Direxion Switches Indexes

    Ron DeLegge

    Direxion Shares made changes to the underlying benchmark indices for eight leveraged and inverse exchange-traded funds, shifting from the Russell index universe to that of Standard & Poors.

  • One Group’s Story

    Ed McCarthy, CFP, RICP

    Moving from the brokerage world to independent status is a major decision that shouldnt be rushed.

  • Income ETFs Attack Low Yields

    Ron DeLegge

    Investors have been battling record low yields and a series of new income ETFs might offer some help.

  • Cold Calling 2012

    Bill Good

    I need your help to find out which cold calling scripts and lists work best and what unique strategies may be out there.

  • Core Competency


    Solid growth and promising research and development pipelines bode well for companies that sell pharmaceutical and related health-care products.

  • The Tab for Independence

    Ellen Uzelac

    Can advisors across the spectrum afford to go independent, no matter their asset level? Opinion is mixed.

  • Africa’s Chance

    Alexei Bayer

    Sub-Saharan Africa didnt suffer as much in the 2008 global financial crisis as the rest of the world, since it lacked both large banks and sophisticated financial infrastructure, and its levels of consumer and government debt were relatively low.

  • Clearing's New Space

    Jane Wollman Rusoff

    In these challenging timeslethargic economy, record-low interest rates, high market volatility, softer trading volumes and a regulatory overhaulthe top firm in the clearing space has decided to totally transform its business model.

  • Muni Crisis Brewing?

    Ron DeLegge

    Up until now, investing in municipal bonds has been a calm experience. Politicians and credit raters have assured the public that munibonds are safe. But tremors are appearing.

  • The Crown of a Good Name

    Jane Wollman Rusoff

    On the big screen, fictional insider-trading sleazeball Gordon Gekko exhorted: Greed is good.

  • Avoiding Breakaway Protocol Missteps

    Gil Weinreich

    A team of Merrill Lynch advisors who left for Morgan Stanley in April were caught trying to remove boxes containing confidential customer information, becoming a cautionary tale for brokers tempted to break protocol.

  • Who Can Reform Wall Street: Romney or Obama?

    Nicole Gelinas

    The political calculus is that Romney has a good chance in November because the economy is bad, and Obama is the guy who was supposed to make it better. Not so fast.

  • A Bold New Direction

    Kenneth Silber

    On Jan. 21, 2013, either a re-elected President Obama or a newly elected President Romney will face economic trouble and congressional stubbornness. Heres a bold way through.

  • T. Rowe Shares Positive Results in Q2

    Janet Levaux

    T. Rowe Price said it had net revenues of $736.8 million, net income of $206.8 million, and diluted earnings per common share of $.79, in the second quarter.

  • Going Independent?

    Nancy Miller

    Going independent? Already selected your new venue? Then youve already made some very big decisions about making a change and the kind of change you want.

  • Aussie ETFs Make Debut

    Ron DeLegge

    The ProShares Ultra Australian Dollar (GDAY) and ProShares UltraShort Australian Dollar (CROC) made their trading debut.

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