Research Magazine August 2007

Features

  • Machiavelli to Macbeth

    By R. Gina Renee

    "When taking a state, a conqueror must arrange to commit all his cruelties at once," writes 16th century Italian political philosopher Niccolo Machiavelli, "but benefits...

  • Portrait of a Rookie

    By Jane Wollman Rusoff

    Jerry's Famous Deli, a popular TV and movie industry hang-out in Los Angeles' San Fernando Valley, is jammed every lunchtime. Right next door, on bustling...

News

  • The Latest Notes on Notes

    By Staff Writer

    Barclays Global Investors was among the earliest providers of exchange-traded funds (ETFs) in the U.S. market, but now has its sights set on another cutting-edge...

  • BenefitStreet ETF Debuts

    By Staff Writer

    The $2.5 trillion 401(k) business is up for grabs, and high-level scrutiny has presented ETF providers an opportunity to capitalize on this traditionally mutual fund-dominated...

  • Closed-End Fund Becomes ETF

    By Staff Writer

    The vast majority of the exchange-traded universe's spectacular growth is coming from new product offerings, but other types of financial products may be joining the...

  • Ratios Creep Up

    By Staff Writer

    While exchange-traded funds (ETFs) continue to be a good deal for financial advisors and their clients, expenses aren't as cheap as they used to be. The...

  • The Latest Notes on ... Notes

    By Staff Writer

    Barclays Global Investors was among the earliest providers of exchange-traded funds (ETFs) in the U.S. market, but now has its sights set on another cutting-edge...

  • BenefitStreet to Debut iShares' ETFs

    By Staff Writer

    The $2.5 trillion 401(k) business is up for grabs, and high-level scrutiny has presented ETF providers an opportunity to capitalize on this traditionally mutual fund-dominated...

  • SSgA Adds Bond Funds

    By Staff Writer

    State Street Global Advisors (SSgA) recently launched five fixed-income ETFs based upon one Barclays and four Lehman bond indices; investors may cheer the offerings' lower-than-average...

  • Lessons from a Young Broker

    By Staff Writer

    Every investor dreams of getting in on the next Microsoft on the ground floor -- just before it's taken off. And every brokerage firm is...

  • Morningstar '07 Confab Draws Crowd of 1,500

    By Janet Levaux, AdvisorOne

    Fund managers speaking at the Morningstar Investment Conference 2007 -- held June 27-29 in Chicago -- say this year is a time to watch out...

  • IN BRIEF

    By Janet Levaux, AdvisorOne

    Chicago-based Nuveen Investments says it is being acquired by a private-equity group led by Madison Dearborn Partners, LLC. As part of the deal, Nuveen stockholders...

  • Merrill's McCann Speaks Out on FAs, A.G. Edwards and Rule 202

    By Janet Levaux, AdvisorOne

    What is that status of Merrill Lynch's private client group?If you take a long-term perspective, the business was restructured and repositioned between 2001 and 2003....

  • UBS Appoints New Head

    By Janet Levaux, AdvisorOne

    On July 5, the UBS board of directors appointed Marcel Rohner as the company's group chief executive officer, succeeding Peter Wuffli. Rohner has been chairman...

  • MSC Boosts Assets; Commonwealth Recognized by Pubs

    By Janet Levaux, AdvisorOne

    Mutual Service Corporation (MSC) reports that it has increased its advisory assets under management by more than 20 percent, from $5.1 billion in August 2006...

  • All-Time High

    By Janet Levaux, AdvisorOne

    June 2007 saw an increase of over 10,000 new jobs in our industry, says Jeff Testerman, vice president of BrokerHunter.com. This is the biggest increase...

  • Rising Fundamentals

    By Staff Writer

    Gold producers could benefit from increasing prices in the second half of the year, analysts say. oooooooo Oscar CarbreraGoldman Sachs212-357-4290Oscar.Cabrera@gs.com Coverage: Metals and Mining: Precious Outlook: We remain bullish...

  • The Retirement Toolkit

    By Robert Scott Martin

    Research: How do advisors need to change their business model as their client mix moves from a predominantly accumulation-oriented population toward distribution?Lofties: The wealth management...

  • Cr?me de la Cr?me

    By Jane Wollman Rusoff

    A smart and pithy saying goes: We create our own opportunities. Wiser still is the person who seizes only the best of them. Michael Rogers,...

  • To the Next Level

    By Ellen Uzelac

    Shortly after Scott Romine was tapped as the chief executive officer of National Planning Corp. in May, he conducted a much anticipated conference call with...

  • Lesson 7: Annuitization

    By Moshe A. Milevsky

    The "A" word strikes fear into the hearts and wallets of advisors throughout the financial services industry. Irreversibly handing over a lump sum of money...

Voices/Columnists

  • Success in Profiling

    By Bill Good

    Let's define "profiling" as the process of gathering data about someone (ideally a current or prospective client) in sufficient depth to understand where they are...

  • Pain-Free Wealth Management

    By Bill Miller

    Inspiration often appears in the strangest places. For me, it recently revealed itself at my son's dentist appointment. In order to cure a watermelon-sized abscess...

  • A Winning Team

    By Marie Swift

    One of my old mentors had a favorite definition of "T.E.A.M." -- Together Everyone Achieves More. Holding true to this mantra over many years played...

  • The Art of the Referral

    By Patricia J. Abram

    Recently, after listening to me speak about the referral process, several advisors privately admitted that although they work by referral only, they could not recall...

  • Small by Design

    By Alexei Bayer

    As we confirm our lunch appointment, Ted Charles comments on the famous selection of wine at 21 Club. We commiserate with one another that we...

  • What's Good for General Motors

    By Alexei Bayer

    When Chrysler, the No. 3 Detroit automaker, was teetering on the brink of bankruptcy in 1979, the Carter administration stepped in with $1.2 billion in...

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