Research Magazine June 2007
Cover Story
The Independent Advantage
If you're an independent advisor, take a few seconds and feel the love. Industry research shows that more investors who chose an advisor within the...
Features
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Moving from the Boiler Room ... to the Living Room
A recent Research magazine cover ("Fee-Based Business," February 2007) displayed a numerical reality check for the financial advice profession regarding the migration toward fee-based practices....
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Joy, Fun - Season in the Sund
BlackBerry-less in the land of grapevines and olive trees -- that's wine connoisseur Peter S. Izzo's idea of a dream vacation. And this July he'll...
News
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Focus on Claymore
Having launched nine exchange-traded funds over the last few months, Claymore Securities has been one of the busiest ETF issuers of 2007 so far, and...
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Adding ETFs to Managed Accounts
Securian Financial Services has introduced a new investment platform that uses exchange-traded funds. Dubbed "Securian Signal," the new managed accounts marry index investments with strategic...
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WisdomTree Targets 401(k) Plans
Despite the mutual fund industry's domination of the 401(k) business, ETF insiders seem intent on giving them a run for their money. WisdomTree Investments has announced...
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Utilities Plugging Away
Over the past few years, the dull utilities sector has been turning heads with stock market performance that's been anything but boring. Through the first quarter...
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Bond iShares Get Competitive
Over the past several years Barclays Global Investors (BGI) has been the lone provider of U.S.-listed bond ETFs, but now they've got company. In April, the...
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Cllient Credibility
When it comes to the sought-after high-net-worth market, there is a great deal of research showing what kind of financial advice is preferred. Our cover...
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Industry Leaders Point to Growth and Challenges
"Why all the confusion about mutual funds?" asks Chip Roame, head of Tiburon Strategic Advisors, who recently hosted the group's CEO Summit XII, April 18-19,...
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Vanguard Moves to Simply, Drop Charges
It's spring-cleaning time for fees at Vanguard. This month, the fund giant will charge clients a flat $20 yearly fee on accounts with balances under...
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Study Shows Couples Split on Future Income, Advice
Call it "agreeing to disagree." Research conducted by Fidelity Investments has found that married couples with investable assets of $100,000 and up, or household income of...
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Fidelity Stages New Ad Push
There's no "talk to Chuck"-type message in Fidelity's latest branding campaign. Rather, the unspoken message is, "Talk to each other." "We've always known that talking about...
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In Brief
Fidelity Investments is re-aligning the firm's distribution, operations and administrative functions to meet the needs of its increasingly diverse customer base, the company says. As a...
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Merrill Nears 16,000 FAs; AUM Tops $1.6 Trillion
Merrill Lynch has reported its second-best results ever, says Richard X. Bove of Punk, Ziegel & Company in Lutz, Fla. The company continues to aggressively...
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Morgan, Female FAs Reach $46 Million Settlement
Morgan Stanley's Global Wealth Management Group has settled a gender class-action lawsuit involving current and former women financial advisors and registered trainees. Under the terms of...
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FPA Wins Appeal on Merrill/BD Rule; SEC Concedes
A federal court of appeals has ruled in favor of the Financial Planning Association (FPA) in its case against the Securities and Exchange Commission over...
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More Politicians Call for Iran Diverstment
Ohio State Reps. Shannon Jones and Josh Mandel are pushing for state legislation that would prohibit some state investment funds from owning shares of companies...
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Job Growth Takes a Break
Financial firms shed 11,000 workers in April 2007, reports www.BrokerHunter.com. This job trimming occurred mostly in commercial banking and real estate. The securities industry did...
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The Right Prescription
As baby boomers age, drug retailers should see rising pharmacy use and growing sales in coming years, analysts say. John W. Ransom Raymond James Associates 727-567-2593 John.Ransom@RaymondJames.com Area of Coverage:...
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The Independents' Voice
Research: In your opinion, what are the strengths of the independent advisory model? Brown: A couple of things come to mind. As the label says, it's...
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Steady at the Helm
As Winston Churchill crisply summed up: "The question which we must ask ourselves is not whether we like or do not like what is going...
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Unconventional Wisdom
Quick. What's the chief quality of top advisors to the affluent? Skill? Ability? Style? It's probably not what you think. Following a two-year research-based "random walk"...
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Lesson 5: Spending Buckets and Financial Placebos
In an earlier lesson I argued that a bear market early in retirement -- i.e., when you start withdrawing money from a portfolio -- can...
Voices/Columnists
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Why and How to Educate Your Next Client
From 1995 to 2004, the Securities Industry Association conducted an annual survey of investor attitudes. According to the 2004 report on the survey: "84 percent think...
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The New Recruiter
One of the toughest jobs in the financial services industry has to be that of the financial advisor recruiter. Typically, the FA recruiter is a...
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How You Are Heard
Strong communication skills are imperative to success in the financial planning industry. Whether it's prospecting new clients, working well with employees, or dealing with vendors,...
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'Income in Repect of a Decedent'
James W. Coleman Sr., president of Coleman Financial Advisory Group in Waterbury, Conn., is on a mission -- and he thinks you should be too....
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The Prospect of Discovery
Do you genuinely look forward to the prospect of discovering a great deal about many aspects of your clients' lives? To finding out not just...
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Among IBDs, a Blue Chip Choice
Breaking with an already established tradition, I meet Larry Roth not at the restaurant where we were going to have lunch, but at Royal Alliance's...
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Test Your CPI-Q
Not long ago, telling someone they looked like a million dollars was a compliment. Say it now and they might rush to schedule an emergency...
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