Research Magazine June 2009
Cover Story
A Drive for Independence: Wirehouse Advisors Look Under the Hoods of Indie Firms
As Philip Palaveev, president of Fusion Advisor Network, bluntly puts it: "I don't think we've seen such a profound weakening of wirehouse brands before. This...
Features
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Obama's Learning Curve: Will the President Absorb a Key Lesson of Market History?
Whether you like or loathe him -- everyone can agree President Obama's term had a bumpy start -- at least for markets. His first few...
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Advisor Advocate: LPL Financial's Bruton
With advisor interest in the independent model at a historic high, Derek Bruton's appointment as national sales manager for the nation's largest independent broker-dealer network...
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No Teleprompter Needed: CNBC's Rick Santelli
Rick Santelli, animated on-air editor for CNBC Business News, relishes talking hot-button issues. But when the ex-trader/financial services executive emotionally blasted President Obama's bailout plan...
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Japan's Stock Market History Offers U.S. a Cautionary Tale
On December 29, 1989, Japan's Nikkei 225 stock index closed out a triumphant decade at 38,916. The Nikkei had begun the 1980s below 7,000 and...
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Publisher's Letter: Separation of Business, State
A plausible explanation for the historically awesome power of America's wealth engine compared to the rest of the world is the emphasis Americans have always...
News
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Will Emerging Markets Lead?
The first quarter of 2009 is in the history books. Key areas of market strength have already begun to manifest themselves. Are your clients' portfolios...
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Direxion Adds Leveraged-Bond ETFs
The new funds are linked to NYSE Current U.S. Treasury Indexes and their annual expense ratios are 0.95 percent. The funds are as follows: o Direxion Daily...
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First Convertible-Bond ETF Debuts
The SPDR Barclays Capital Convertible Bond ETF is benchmarked to the Barclays Capital U.S. Convertible Bond >$500MM Index. Convertible bonds are bonds that can be...
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Foreign Small-Cap ETF Universe Grows
The Vanguard FTSE All-World ex-US Small-Cap ETF (VSS) contains approximately 2,100 securities and will offer investors market coverage to a frequently overlooked area of the...
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Commentary: Why ETFs Are Gaining on Mutual Funds
How many times have you heard or read it? Exchange-traded funds are overtaking traditional mutual funds in both popularity and asset growth. Regardless of whether...
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Changing Times for Mutual Funds
After a brutal end to 2008, the first five months of 2009 --- especially the 13 weeks from February 5 to May 7 -- have...
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Bonds, Fixed Income Indexes Rise
The Lipper HI Current Yield Bond Index has risen 17.1 percent, and the Lipper A-Rated Bond Fund Index is up 2.4 percent through early May...
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PIMCO Shares 2Q09 Markets Outlook
Newport, Calif.-based Pimco has just issued its second-quarter outlook on the markets. The firm says it will "retain an emphasis on assets at the top...
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In Brief: Fidelity Has New Equity Chief
In executive news at Fidelity Investments, Brian B. Hogan now leads the equity unit of Fidelity Management & Research Company (FMRCo), the investment advisor to...
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Pax Says Its Sustainable Funds Beat Peers
Pax World Management Corp., an investment adviser to Pax World Funds (Pax World) and a leader in the field of sustainable investing, recently shared the...
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Wasatch Global Opps Fund Up 10 Percent
Despite the challenging conditions of recent markets, the Wasatch Global Opportunities Fund (WAGOX) has returned 10.00 percent in the period since it launched on November...
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Morgan Stanley Moving Ahead With Smith Barney Venture
Morgan Stanley says it is on track to raise some $8 billion via recent equity and debt offerings, including the exercise of the over-allotment option,...
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Wachovia Securities Rebrands, Becomes Wells Fargo Advisors
Wachovia Securities is now using the Wells Fargo Advisors name, officially rebranding its business under its new parent, Wells Fargo & Company, the company says. "Today,...
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Edward Jones Revamps Transition Package
To help grow its advisor force this year, Edward Jones has developed an enhanced transition package for current successful financial advisors who join the firm....
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LPL Financial Advisor to Aid Professionals 'in Transition'
Bob Fragasso, president of Fragasso Financial Advisors in Pittsburgh, says the LPL Financial-affiliated firm is offering some services for free to local professionals who have...
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The New Normal: As the Economy Faces Structural Change, So Does Retirement
Let's start with a bit of personal history. I used to commute daily from a suburb to a downtown financial district. It took me one...
Voices/Columnists
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How to Create a Winning Sales Proposal
If you are selling multiple products to a client; if you're offering complex solutions to complex problems; or even if you're dealing with anything more...
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Advisors Ask Who's Trustworthy?
It seems like a pretty straightforward question. Until a year ago, we probably didn't give it much thought. Now, it seems like everyone is asking...
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Shifting Strategies: Troubled Times Inspire Innovative Investing
With the Fed pumping money into the economy, advisors and economists are concerned about another potential problem: inflation. While the inflation rate in 2008 was...
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Professional Study Groups Offer Impressive Benefits
Over the past few months this column has focused on the importance of continuing to build your business -- in good times and bad --...
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Yale's Shiller Keeps an Eye on Bad Behavior
Who: Robert Shiller, Arthur M. Okun Professor of Economics, Yale University Where: Gente, 153 West 45th Street, New York City; April 17, 2009 On the Menu: Minestrone,...
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Demonizing the Financial Sector is Folly
The information technology revolution of the 1980s and 1990s is justly considered one of the highest American achievements in the 20th century. Its positive impacts...
Investment Spotlight
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Opportunities for Investing in Consumer Sectors
Research Consumer-Sectors Companies: CVS Caremark Corp., Kellogg Co. Andrew Lazar Barclays Capital 212-526-4668 andrew.lazar@barcap.com Food: We continue to look for around -10 percent deflation on an unhedged basis for the...
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