Research Magazine March 2007
Cover Story
Business Development
You've stopped to smell the roses. Good for you! Now wake up and smell the coffee. Yes, a new era has been brewing in the...
Features
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Recruiters' Least-Favorite Reg
A National Association of Securities Dealers policy that prohibits the use of block transfers of clients' mutual funds and variable annuity contracts has helped stall...
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Financial Advisor Global Reach
American culture and behaviors from movies to fast food, get exported every day -- and wealth management is no exception. Of course, private banking, the precursor...
News
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To HOLD or to Fold?
On any given day, HOLDRs are among the highest-volume securities traded on the American Stock Exchange, but a cloud of confusion still surrounds their inner...
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Wisdom Tree Enters 401k Field
Exchange-traded funds (ETFs) are invading the 401(k) marketplace, and it doesn't look like the big push will let up any time soon. The latest entrant is...
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ETF Assets Up $13.4 Billion
According to the Investment Company Institute (ICI), the combined assets of U.S. ETFs grew $13.43 billion to $396.73 billion in November. This represented a 3.5 percent...
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More Energy, Metals, Ag Funds Launched
Compared to stocks and bonds, commodities still have a lot of respect to gain as a "standard" asset class, and PowerShares and Deutsche Bank hope...
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New Bond ETFs Trade on NYSE
Despite the booming number of new ETFs over the past several years, the bond category has been relatively quiet, but Barclays Global Investors (BGI) has...
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Energy, Metal and Ag Funds Launched
Compared to stocks and bonds, commodities still have a lot of respect to gain as a "standard" asset class, and PowerShares and Deutsche Bank hope...
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State Street Returns to Its Roots
Being "old school" isn't always such a bad thing. In the case of the burgeoning ETF business, having a long track record seems to be...
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Are Brokers Entitled to Overtime Pay?
It started with, "Huh -- brokers should be paid overtime?" Fast forward, Smith Barney and UBS have settled nationally (for $98 million and $89 million,...
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Planting, Building and Vacuuming
Ask successful businesspeople what propelled their careers and you will get a range of different answers, indicating there are multiple paths to success. While that's...
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Diverse Fund Groups Make Strong Showing
In terms of global flows into market funds, emerging markets and global equity funds captured the lion's share in 2006, according to Emerging Portfolio Fund...
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ICI Study Finds Improving Opinion
Shareholders view mutual fund companies more favorably today than they did in 2003, when the industry hit a low point, according to the Investment Company...
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IN BRIEF
John Hancock Funds has introduced two new fund-of-funds products: the John Hancock International Allocation Portfolio and the John Hancock Lifecycle Portfolios. "Both new products demonstrate our...
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Ameriprise Adds to CFP Focus as Barnash Joins Firm in Chicago
Thanks to patience, persis-tence and some necessity, Ameriprise Financial has hired former Financial Planning Association chairman and president Jim Barnash, 52, to head up its...
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Krawcheck to Lead Smith Barney as FA Production Tops $665,000
With headlines about his relationship with CNBC news anchor Maria Bartiromo and warnings from Citigroup Chairman and CEO Charles Prince about spending, Todd Thomson decided...
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A.G. Edwards' Trust Wins Approval
Pre-tax earnings for A.G. Edwards in the quarter ending November 30, 2006, have risen nearly 65 percent to $124 million vs. the same period a...
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Merrill CEO Pay Hits $48 million as Firm Buys First Republic
Just as the peak in oil prices and earnings drew politicians' attention in 2006, Wall Street pay packages appear to be doing the same in...
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Positive Outlook
Companies in a variety of biotech and health-care sectors should see sales and development progress in 2007, analysts say. Edward A. Tenthoff Piper Jaffray & Co. 212-284-9403 edward.a.tenthoff@pjc.com Area of...
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Historic Highs
Analysts expect the valuations of REITs to remain solid in 2007, though the sector may experience some volatility. Christopher R. Lucas Robert W. Baird & Co. 703-821-5780 crlucas@rwbaird.com Area of...
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Beyond the Crisis
Research: We hear a lot about the future of retirement. What aren't we hearing that we need to know? Salsbury: I will turn the finger and...
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Comic Relief
At night after work, when private wealth manager Michael W. Cartwright is alone in his studio, he is driven by the fictional fate of Kerwin,...
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Dean of College Funding
Deborah Fox knew it was time for a career switch when one day, working at a fish farm, she was tossing Purina Fish Chow into...
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Lesson 2, The Uncertainty of Death and Taxes
By now everyone has heard the widely abused clich?, first coined by Benjamin Franklin in 1789: "In this world nothing can be said to be...
Voices/Columnists
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I Love to Sell!
In 1991, I wrote a series of articles called "I Love to Prospect." I titled it that because most people hate prospecting and would rather...
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First Impressions
You only get one chance to make a first impression. I remember how my dad used to tell me that over and over again. And...
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CPA Alliances
Many financial advisors understand that in order to expand their practices it's increasingly important to acquire another business, be acquired, or affiliate with other professionals...
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Retirement Conversations
Try asking these questions at a social gathering: "How much money will you need to enjoy a comfortable retirement? How much does that mean you...
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Centers of Influence
The best way to succeed is to be successful on purpose, working not just in your business, but also on your business. Following Steven Covey's...
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The Harvard of Broker-Dealers
If you want to know what a broker-dealer is like," says Joseph Deitch over a cup of first-rate lobster bisque at the Harvard Club on...
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Cash is King, For This Year at Least
U.S. stocks had a lackluster 2006. It may seem churlish to say this, with the Dow Jones Industrial Average breaking a six-year-old record and rocketing...
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