Research Magazine December 2006
Cover Story
2006 Advisor Hall of Fame
Welcome to Research magazine's Advisor Hall of Fame, now in its 16th year. This eagerly anticipated annual feature has become a benchmark of excellence in...
Features
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Research Roundtable
Mr. Market, wont to wearing his heart on his sleeve, reacts, reflects -- and anticipates. Marching always to its own drummer, the market in 2007...
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Shifting Tides
In Research's June 2006 issue, the article "Going Independent" taught us that the financial services industry continues to attract new entrants. The industry segment showing...
News
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ETFs Reach for Share of 401k Market
Portland, Ore.-based retirement plan manager Invest n Retire recently made the developing trend of ETFs popping up in more and more employer-sponsored retirement plans the...
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Van Eck Launches Sector Funds
From trash collection to steel production, exchange-traded funds (ETFs) have it covered, thanks to two specialized sector funds from Van Eck Associates. Van Eck's Market Vectors...
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Putting an International Spin on Dividend ETFs
Adding to the growing ETF landscape, New York-based WisdomTree Investments has launched 10 dividend-weighted ETFs in its crusade to compete for a share of the...
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China: To Be Bullish or Not...
Not only does China dominate Asia in terms of sheer size, but it's the world's leading producer of textiles and manufactured goods. Thanks to its...
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More Funds Make Move to NYSE
A second group of iShares ETFs made the move from the American Stock Exchange to the NYSE Arca exchange, a subsidiary of the NYSE Group,...
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PowerShares Captures the Qubes
Nasdaq Global Funds (a subsidiary of the Nasdaq Stock Market) has agreed to transfer sponsorship of the Nasdaq-100 ETF (Nasdaq: QQQQ), Nasdaq-100 European Tracker (EQQQ)...
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PowerShares Debuts Sector, Niche ETFs
PowerShares has been one of the most active issuers of new ETFs this year and no sign of any pause seems to be in sight. In...
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The Marketing Imperative
What we now call "marketing" began long before the name was coined. In the mid-1800s, traveling salesmen dressed "snake oil" and other tonics in fancy...
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Six Inspirational Advisors
One characteristic that distinguishes the best financial advisors, or the best in any profession, is that they are never satisfied with themselves; they know they...
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Funds Surpass $10 Trillion; Top Players Have 47%
According to Lipper data compiled by Bobroff Consulting of East Greenwich, R.I., the fund industry has passed the $10 trillion mark, with the largest players...
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'DWS Scudder's Dr. Bob Outlines His Latest Bets
(Phoenix) How does the chairman of DWS Scudder's Investor Strategy Committee feel about the market's short-term potential? Robert Froehlich, aka Dr. Bob, forecasts the market...
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U.S. Global's Frank Holmes Explains His CEO/CIO Style
(San Antonio) After meeting face to face with U.S. Global Investors CEO and CIO Frank Holmes, you'll likely have trouble remembering the Alamo. The Toronto...
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Brokers Share Mixed Feelings, as BD Stock Index Rebounds
Brokers say they are happier today than they were last year, especially in terms of compensation. Many, though, would switch the type of firm they...
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Smith Barney Advisors Under Pressure
Smith Barney insists it retained more than 80 percent of Legg Mason reps acquired last year through Citigroup's purchase of Legg Mason's retail operations. This...
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3 Reps Get $3 Million in NASD Case
Upon leaving Merrill Lynch in 2003, three advisors say they joined Banc of America Investment Services -- and moved with their families from the Cleveland...
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'Mary Mack Starts to Lead Wachovia's Bank Channel
Mary Mack knows she has some big shoes to fill. On October 1, Mack assumed a post held by Dwight Moody, who's been president of Wachovia...
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Commonwealth Aims for Controlled Growth
(Phoenix) Commonwealth Financial Network wants to maintain its identity despite some serious expansion, say executives attending the broker-dealer's recent national conference, held Oct. 26-30 at...
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Panel Explores the Issue of What Clients Really Want
A recent consumer panel, showcased during the 11th Semi-Annual CEO Summit hosted by Tiburon Strategic Advisors in San Francisco on Oct. 18 and 19, highlights...
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Industry Spotlight: Consumer Sectors
The share prices of some consumer-focused companies could improve in 2007, thanks to rising sales, improving margins and external factors, equity analysts say. ----- Terry Bivens Bear Stearns 212-272-6782 tbivens@bear.com Area...
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Thomas J. Curran
President, Curran Investment Management Curran Advisory Services Career Began: 1969 Home Base: Albany, N.Y. Civic Affiliations: Wildwood Foundation, Mid-Atlantic Center for the Arts, East Lynne Theater Co. --- At an age...
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Scott Hanson
Co-founder and Senior Advisor Hanson McClain Inc., Securities America Career Began: 1990 Home Base: Sacramento, Calif. Civic Affiliations: River Oak Center for Children, Child Abuse Prevention Council, Sacramento Regional...
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Gena Harper and Carla Koren
Senior Vice Presidents, Smith Barney Careers Began: 1985 Home Base: Berkeley, Calif. Harper's Civic Affiliations: Glaucoma Research Foundation, Guide Dogs for the Blind, Downtown Berkeley YMCA Koren's Civic Affiliations:...
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Malcolm A. Makin
Founder, Professional Planning Group Raymond James Financial Services Career Began: 1974 Home Base: Westerly, R.I. Civic Affiliations: Ocean Community YMCA, Westerly Hospital, American Seniors Golf Association ----- At the start of...
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David A. Mallach
Senior Vice President of Investments, Merrill Lynch Career Began: 1973 Home Base: Elkins Park, Pa. Civic Affiliations: Mallach House in Botswana, David Mallach Music Scholarship at Troy University ----- What...
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The Road Ahead
Research: What's facing the FSI and the industry in 2007 and beyond? Simmers: The No. 1 challenge -- from the Financial Services Institute's point of view...
Voices/Columnists
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Survival Secret
Let's assume you have good investing skills. You didn't get shorted when they passed out personality. Your prospecting and selling skills are right up there....
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Holiday Cheer
If you're like most advisors, your mailbox is already starting to bulge with holiday cards wishing you and yours a happy holiday season. (In the...
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Are You a Spider or a Starfish?
"If you cut off a spider's leg, it's crippled; if you cut off its head, it dies. But if you cut off a starfish's leg,...
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Protecting More Than Pensions
Like a snowball rolling downhill, reasons for Congress to clarify and strengthen the U.S. retirement system have been accumulating for the past decade. Along with...
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Enrich Through Your Niche
At a recent coaching event an advisor from a Western state looked me in the eye and smiled as he introduced himself. "I want to...
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Treating Reps as Friends
This being my first time in Atlanta, I'm at the mercy of my host as far as lunch is concerned. Fortunately, Joby Gruber is a...
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Roiled By Oil
Conventional wisdom suggests that oil prices increased eightfold, from less than $10 per barrel in 1999 to a peak of $77 per barrel in mid-2006,...
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