Research Magazine January 2010
Cover Story
Saving Capitalism
Nicole Gelinas, contributing editor to the Manhattan Institute's City Journal, is author of After The Fall: Saving Capitalism from Wall Street - and Washington (Encounter...
Features
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The Art of Communicating with Clients
Why butt heads with irksome clients, when instead you can negotiate conflict: much less stressful and far more effective. In his handy book, Working with Difficult...
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The Greater Good
RICHARD BOTKIN: SENIOR VICE PRESIDENT-FINANCIAL ADVISOR; MORGAN STANLEY SMITH BARNEY; ROSEVILLE, CALIF. AUM: APPROXIMATELY $100 MILLION. ABOUT HIS INQUIRING MIND: "In talking to clients, if...
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Succeeding at Art Succession
Not long ago, insurance agent Pamela Averick asked an art collector she knows whether he'd made any long-term provisions for his collection of 100 contemporary...
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The Tumultuous 19th Century
On September 12, 1857, Commander William Lewis Herndon, in full uniform and with head bowed, stood by the wheel of the SS Central America as...
Editor's Note
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Government Promises
Of equal importance to the government's fiscal mismanagement is its regulatory failure. The economic crisis we are experiencing is no fluke, but the predictable result...
News
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Dealing with the Dollar
If you've been flirting with the idea of finally taking that coveted European vacation, you might want to wait. The depressed state of the U.S....
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Schwab Enters ETF Business
The San Francisco-based company introduced four index ETFs in November. The Schwab U.S. Broad Market ETF (SCHB), the Schwab U.S. Large Cap ETF (SCHX) and...
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PIMCO Adds Treasury ETFs
The PIMCO 3-7 Year U.S. Treasury Index Fund (FIVZ) and the PIMCO25+ Year Zero Coupon U.S. Treasury Index Fund (ZROZ) were launched in November by...
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Launching Commodities and More
CRBA is benchmarked to the Thomson Reuters/Jefferies CRB In-The-Ground Global Agriculture Equity Index, which selects from a global universe of publicly traded companies engaged in...
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IndexIQ Offers Inflation Hedges
IndexIQ has introduced two ETFs designed to hedge against rising inflation. The IQ CPI Inflation Hedged ETF (CPI) attempts to hedge against price spikes by providing...
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Seeking Answers from VIX
The VIX indicator has become a popular gauge of investor fear and complacency. Using a weighted blend of various S&P index options, the VIX attempts...
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Markets, Funds Come Back
Flows into emerging-market equity and the riskier bond fund groups have been losing momentum in early December, according to EPFR Global of Boston. At the...
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401k Plans Back on Track, Vanguard Says
The typical 401(k) participant now has greater 401(k) retirement wealth than before the severe market downturn, according to a new Vanguard report entitled "Recovery...
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Fund Assets, Ratios Hurt in early 2009, Recent Lipper Research Shows
Lipper's fall report, "The Halfway Point," outlines changes to open-end fund expense ratios over the eight-month period from the end of October 2008 through...
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Better Days Ahead, Says Veteran Analyst
Equity analyst Richard Bove of Rochdale Securities closely tracks banks, including Bank of America, Morgan Stanley and Wells Fargo. He recently spoke with Research...
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Schwab Sees More Momentum, Says Grist
As of September 30, 2009, 126 teams moved to an independent model with Schwab, according to Barnaby Grist, senior managing director of Schwab Advisor...
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Morgan Stanley Outlines Exec Shifts
In early December, Morgan Stanley announced key leadership appointments effective January 1, 2010, when James P. Gorman becomes CEO and president and John J....
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Annuity Analytics: A Truly Relevant Benchmark
The wealth and investment management industry is full of performance benchmarks and value-added metrics, from stock and bond indices to Sharpe Ratios, alphas and...
Voices/Columnists
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The Lap
I firmly push the accelerator and grip the shift lever as the race propels me toward lap 2010. Still, before I make the final...
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Centers of Influence
These are challenging times. The markets seem to be rebounding, but clients are still nervous and cautious -- with good reason. They've been severely rattled,...
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The Dow at 100,000?
Round milestones, the ones with many zeros, have traditionally been difficult for the Dow Jones Industrial Average to leave behind. The market hovered around 100...
Investment Spotlight
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Total Return Leaders: Persistently Positive
Investment strategies that focus on investing in dividend-paying stocks have a long-term record of outperforming the S&P 500 index with less volatility, fund managers and...
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