Research Magazine February 2007
Cover Story
A Progress Report on Fee-Based Business
The industry's exhortation about the appeal of the fee-based business model has never been more emphatic. Firms are pushing it. Advisors are embracing it --...
Features
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The Science of Investing
Finance theory says: The only way to beat the market is by knowing what others don't. Few fight me on that. But in today's ?ber-connected...
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Meet the Paraplanners
As if earning two bachelor's degrees in three years wasn't tough enough, industrious Adrienne Sadowski craved real-world work experience at the same time. So from...
News
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Taking Clients Beyond Stocks and Bonds
Pressure on the U.S. dollar has been considerable. Late last year, the greenback touched 14-year lows versus the British pound, sparking worries that the worst...
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State Street to Focus on SPDRs
SAN DIEGO - Sometimes, being old school isn't such a bad thing. In the case of the burgeoning ETF business, it appears to be working...
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Adding Value
In the late '90s, fee-based business was the new rage. Advisors who embraced this alternative method of compensation boasted that it aligned their interests with...
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A 'Class' Act
"Retirement Income University," introduced in January, is a great idea! Offering Research readers a steady stream of information and context can certainly help them navigate...
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After Re-Grouping in 2006, DWS Scudder Aims High
One year after Scudder re-branded its fund product line, the DWS Scudder fund family is experiencing strong sales momentum, according to Philipp Hensler, head of...
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IN BRIEF
As of press time, analysts say Marsh & McLennan is expected to sell its Putnam fund family and investment unit to the Canadian investment firm...
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Morgan Stanley's Gorman Says: 'We're Not Quite There Yet'
James Gorman, head of Morgan Stanley global wealth management, reflects on the turnaround of 2006 and what lies ahead. In his conversation with Research, which...
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UBS' Take on Fee Work: 'A Lot of Clients Want It'
Marten Hoekstra, head of U.S. wealth management for UBS, gives his opinion on the New York Attorney General's recent lawsuit, acquisitions and plans for 2007....
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Merrill Lynch Keeps Its Focus
Dan Sontag, head of Advisory Americas for Merrill Lynch private client, reflects on the firm's latest moves to stay on top. He spoke with Research...
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Smith Barney's Goal: Doubling FA Productivity in 5 Years
Charles Johnston, president and CEO of global private client for Smith Barney, lays out his thoughts on sales growth, new compensation plans and more. (The...
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Wachovia Private Client Hits $600K Per Advisor
Jim Hays, president of Wachovia Securities Private Client Group, describes what growth the division is aiming for this year. --- Wachovia's Private Client Advisors Private Client Group: 5,958 In-Bank...
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Pershing INSITE to Feature Laura Tyson
INSITE 2007, Pershing's annual financial products and services conference, is set to include a presentation by Laura D'Andrea Tyson, former National Economic Advisor to President...
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Do the Right Thing
More companies are doing well for themselves by doing what's best for shareholders. After the well-publicized excesses of the 1990s, corporate governance has become a key...
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Active Philanthropy
Two years ago, a school serving 1,300 kids in a Managua, Nicaragua, barrio had one barely working computer, no library and no playground. Today, it...
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Man on a Mission
If it ain't broke, don't fix it. Right? But if it does need fixing -- and some heartfelt TLC -- call on Kenneth M. Ross. He's...
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Lesson 1, The Trigonometry of Retirement Income
It is generally believed that stock markets, interest rates and investment returns move in periodic cycles. Unfortunately, these cycles are swamped with noise and only...
Voices/Columnists
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Making a Marketing Plan
While prospecting is certainly essential to your future, you're already spending several hours a day with clients. If you allocate some of that time to...
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Meeting the Minimums
Mr. Saarf, my seventh-grade geography teacher, once pulled me into the hallway to give me what I'm sure he thought was a motivational speech. He...
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Advisor Directed Trusts
How would you like to offer services akin to the nation's largest banks and trust companies -- with one key difference: You remain the central...
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How to Let Go
In a recent article, I explored the importance of identifying and then releasing inappropriate clients. This article will cover exactly how to let those clients...
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Benchmarking for Dollars
When I lived in Washington, DC in the early 1980s, the fact that I was born in Russia almost always elicited an incredulous reaction. People...
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The Next Economic Crisis
After graduate school, I went to work for maverick Wall Street economist A. Gary Shilling. Gary was a follower of the Kondratieff Wave Theory, which...
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