Research Magazine January 2007
Cover Story
Confessions of a VA Critic
In the mid 1990s, I conducted and subsequently published a widely cited research study -- jointly with Dr. Steven Posner, who was then working as...
Features
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How to Have a High-Revenue Firm
It's no secret that compliance and staffing costs are digging into profitability -- your profitability. In fact, the chatter about it has been deafening. The...
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New Year's Resolutions
Well, it's that time again: out with the old year, in with the new. Not so fast! Before we send '06 to the been-there, done-that archive,...
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Guiding Clients to Retirement Income Safety
Most advisors excel when it comes to counseling clients 10 years or more from retirement. They put in place the usual estate and risk management...
News
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XTF Takes Aim at Investors
Mike Woods, CEO of New York-based XTF Advisors, wants his fledgling firm to become as integral to the retail exchange-traded industry as the ETFs themselves....
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Hunting Social, Other Dividends
New exchange-traded funds (ETFs) with specialized strategies have been the rage on Wall Street -- and the rage continues. Targeting income-oriented investors, Vanguard has just introduced...
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Flooding the Market
In the fourth quarter of last year, ETFs continued to flood the market at a dizzying pace, with no less than 40 new funds launching...
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An Equal-Weight SP Approach
Equal-weight indexing is fighting for its share of respect and Rydex Investments plans to make sure it happens. In its new ETFs that track the...
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SSgA Launches Japan ETFs
Over the past year, Japanese stocks have lagged most countries in the Pan-Asia basin. But that hasn't stopped State Street Global Advisors (SSgA) from launching...
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Back to School
Over the years I've heard many financial advisors decry the insufficient training they received in the nuts and bolts of financial planning. All too often,...
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Eaton Vance, Hawkes Have Strong Fiscal '06
Eaton Vance Chairman and CEO James Hawkes, 65, could have quite a stellar pre-retirement fiscal year in 2007, judging from the Boston-based fund company's recent...
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In Brief
Vanguard says that shares of the High Dividend Yield Index Fund (VHDYX) can now be bought by individual investors, institutions and financial advisors. In a separate...
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Big Firms Had Good 2006; Set for More Growth in 2007
The stocks of the largest brokerage firms (Merrill, Morgan and UBS) have outperformed the S&P 500 in 2006, thanks to some key performance issues, experts...
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NYSE, NASD Set to Combine with Schapiro as Head of New SRO
After all but announcing the deal during the Nov. 8-10, 2006, Securities Industry and Financial Markets Association (or SIFMA) launch in Boca Raton, Fla., NASD...
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Securities and Bond Groups Merge, SIFMA Now Represents the Industry
(Boca Raton, Fla.) Last year, comedian Dennis Miller turned a few people off with his racy humor. This year, it was a new organization's name...
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Next Financial Finds Its 'Knight'
Next Financial Group of Houston has been on a tear in recent years and begins 2007 with nearly 800 advisors and a new president --...
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Morgan Stanley Supports Film Contest
"The Pursuit of Happyness" stars Will Smith as Christopher Gardner, a struggling single dad, who joined Dean Witter as a broker-intern and now runs his...
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Pershing Insite to Feature Gen. Colin Powell
A keynote speaker for Insite 2007, Pershing's financial products and services conference, has been confirmed: General Colin Powell, the former secretary of state. The conference is...
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Time to Focus on FA Failure
I have worked in the industry for over 20 years, and it still amazes me that the estimated failure rate of new advisors remains at...
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Mutual Funds You Can Trust
In the November cover story, "Mutual Funds You Can Trust," Morningstar incorrectly placed Old Mutual Dwight S/T Fixed Income Z (OBCPX) among the worst funds...
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Back to Basics
Remember Netscape? The innovative web browser company went public in 1995 with a record-breaking IPO that marked the Big Bang of the Dotcom Boom. A...
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Income Opportunity
Research: What's your take on the looming shift from accumulation to distribution? Macchia: It's as real as anything can be. There's no denying that demographics is...
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Formula for Success
Diamonds are a girl's best friend. But CPAs are worth lots more to financial advisors. That's what savvy Barry L. Pinsky bet when he began as...
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Poster Boy
Back in 2002, Bill Van Law was a disillusioned wirehouse veteran, looking to explore the independent sector. At an interview with Raymond James & Associates,...
Voices/Columnists
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Prosperity Strategy 2008
Forget about 2007. It's mostly too late to do anything about it. Instead, let's implement a strategy now that will pay off big in 2008. A...
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The Resolution
With one hand on my heart and my browser aimed directly at Travelocity.com, I hereby declare that my 2007 New Year's Resolution is (drum roll,...
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Befriending Your Brain
If you and your clients have a New Year's resolution to be better and smarter investors, then you may want to check out Forbes columnist...
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'Late Stage' College Planning
Advisors don't need to be reminded how much of an expenditure paying for college has become for their clients. We've all seen examples of how...
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When to Let Go
An advisor recently made an innocent online inquiry into the best way to release unprofitable clients. Immediately, the advisor was hammered by a slew of...
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Living in an LPL World
If there is a place worth flying to for lunch from New York City -- and on Election Day no less -- it is probably...
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The Problem with Too Much Money
When 2006 began, all eyes in global equity markets were glued to the Federal Reserve. The U.S. central bank has always been a pivotal player...
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