Research Magazine March 2009
Cover Story
Leadership in Tough Times
Imagine several dozen of the nation's top financial advisors dressed in Under Armour, getting their blood drawn by technicians in white lab coats. Throw in...
Features
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Advise Together, Rise Together
J. Christopher Cooke never entertained the idea of working with his financial advisor father for fear that, he says, they "might kill each other." Similarly, Mike...
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The Silver Crisis
This is a story of speculative excess and backlash. It involves commodity prices surging and then plunging, risks spreading through interconnected markets, and financial institutions...
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Making Magic
When Raymond James & Associates recently named Dave Hilgendorf its Branch Manager of the Year, it didn't surprise those who work closest with him. He's known...
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Best Behavior
Some folks hatch their best ideas while sitting at a desk, flossing their teeth or sipping joe at Starbucks. Not Shlomo Benartzi. His creativity is...
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Moment of Truth
In trying times, when heroes are in such short supply, Americans have rallied around US Airways Captain Chesley "Sully" Sullenberger III, who safely landed a...
News
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SPDR Sense: State Street ETFs Finds Sucess in a Tough Market
Despite the worst year for stocks since 1931, net inflows into 70 of the 80 SPDR ETFs (87.5 percent) posted positive cash flows during 2008....
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Will Health-Care ETFs Recover?
Despite their defensive nature, health-care stocks have been hospitalized, falling around 24 percent on average over the past year. The swift decline has created attractive...
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Pax Pushes Social ETFs
Pax World Funds has filed a registration statement with the Securities and Exchange Commission to introduce three ETFs that follow a socially responsible investment strategy. The...
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WisdomTree Renames Funds
New York-based Wisdom Tree Investments has changed the names of six of its stock ETFs to include "equity income fund." "The equity income name better articulates...
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Van Eck ETF Goes Indonesian
Van Eck Global has introduced a new ETF that will track the Indonesian equity market. The Market Vectors Indonesia Index ETF (IDX) contains a small...
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ETF Assets Drop in 2008
According to the National Stock Exchange, the combined assets of all U.S. exchange-traded funds were $534.58 billion at the end of 2008. This figure represents...
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ICI Shares Fund-Industry Wish List
The head of the fund-industry's advocacy group has outlined the regulatory reforms that most need Washington's attention. Here's the list, compiled by Paul Schott Stevens...
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Vanguard Adds Bond-Index Fund
Vanguard says it has introduced a new broad-market bond index fund for use by Vanguard funds, including Vanguard's 11 Target Retirement and four Life Strategy...
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With More Absolute Return Funds, Putnam Finds Receptive Audience
Putnam Investments has begun 2009 with the introduction of four absolute return mutual funds, which are designed to provide returns of between 1 percent and...
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T. Rowe Grows Target-Date Funds
T. Rowe Price Group says target-date retirement investment portfolios continue to be a significant source of assets under management for T. Rowe. During the 2008 fourth...
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Janus Gives Performance Update
Janus Capital Group says its full-year 2008 net income was $138.4 million, or $0.86 per share, vs. $192.0 million, or $1.07 per share, for 2007....
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UBS Taps Top FAs in Texas, Shores Up U.S. Wealth Management
While fierce speculation continues about the future of UBS' U.S. wealth-management operations, the Swiss-based firm added 274 advisors in the fourth quarter of 2008 and...
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FSI '09 OneVoice Conference Outlines Future of Independents
(San Antonio) Independent broker-dealers and advisors are determined to speak out in Washington, D.C., to ensure that expected regulatory changes in the financial industry don't...
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How RJFS, Advisors Cope in a Crisis
(San Antonio) "These are tough days involving tough business decisions," says Donald Runkle, chief compliance officer for Raymond James Financial Services in St. Petersburg, Fla.,...
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Learning New Ways
How will you be able to gather net new assets? Will providing the same advisory process that -- by the way -- just lost about...
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David Macchia Interviews New York Life's Chris Blunt
Macchia: It's difficult to find positives in the economic meltdown. In terms of retirement income planning, however, I'm wondering if there may be one long-term...
Voices/Columnists
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Letter to Survivors
No matter what the market climate, some FAs will survive. And of the survivors, some will get rich. Even though there are more frowns than...
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Rethinking Risk
For many clients, the years prior to 2007 were very good. Portfolio returns were pleasing and they didn't have to pay much attention to their...
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Growth Through Strategic Alliances
Of three main routes to business growth -- capturing additional assets from existing clients, getting new clients via referrals from existing clients, and forming strategic...
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Second Thoughts on First Impressions
The name of Emmi Sorokin's image consulting firm is an inspired choice. It's a Man's World is tongue-in-cheek enough to avoid raising the ire of feminists,...
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Will Obama's Plan Rebuild the Economy?
In the 1920s, when the Soviet government was confiscating hidden gold, foreign currency and jewelry from previously wealthy citizens, a joke was making the rounds. An...
Investment Spotlight
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REIT Investing: Shifts in Focus
--- Paul Puryear Raymond James 727-567-2253 Paul.Puryear@RaymondJames.com Not unlike last year, we approach 2009 with a lot of caution but we still recommend REITs as a defensive investment. There...
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Biotech/Health Care Investing: Selective Growth
--- Alexandra Hauber J.P. Morgan 312-325-3694 Alexandra.m.hauber@jpmorgan.com We expect currency to have a significant impact on 2009 earnings. The biggest effect, due to the British pound weakness, is likely at...
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