Research Magazine November 2007
Cover Story
What Alternatives Do Advisors Have?
For the second consecutive year, Morningstar and Research have surveyed advisors nationwide on their perception of and experience with alternative investments. [Note: Charts appear at end...
Features
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Fiduciary Funds
Three years ago, Morningstar introduced what it calls its Stewardship Grades. Three years later, it is revising its ranking methodology. Explains Laura Lutton, a Morningstar analyst...
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Mind Over Money
In Your Money and Your Brain: How the New Science of Neuroeconomics Can Help Make You Rich (Simon & Schuster), author Jason Zweig, a senior...
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The $20 Trillion Question
Twenty trillion dollars is roughly the amount of money that retirees in coming years will be drawing down; but no one has figured out the...
News
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Cutting the Tax Man's Take
If you're looking for ways to boost your client's investment performance, the key may reside in how well you use ETFs to reduce the bite...
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Intoducing the ELEMENTS
Four of the world's leading financial organizations have teamed up to launch a new series of exchange-traded notes (ETNs) called ELEMENTS. The first product is linked...
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Can Funds Own ETFs?
The SEC has granted Power-Shares exemptive relief that allows mutual funds to invest a greater portion of their assets in the company's exchange-traded funds (ETFs). According...
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New Farm, REIT Funds
Van Eck Global has introduced the Market Vectors Agribusiness ETF (MOO), which tracks the DAXglobal Agribusiness index -- itself comprising 40 ADRs and common stocks...
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Dow Jones/Barron's Launch Benchmark
Dow Jones Indexes and Barron's have unveiled the Barron's 400 index, which tracks the performance of highly liquid U.S. stocks, highlighting America's most promising companies...
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Muni ETFs Lock Horns
Investors searching for tax-exempt income do not have just one new place to look in the ETF marketplace, but two. In September, Barclays Global Investors launched...
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In Search of a Solution
A cardiologist recently advised a relative to have a certain surgical procedure. Because her husband was in between jobs, they made extra sure they were...
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Assets in 529 Plans Grow; Some Changes to Come
Thanks primarily to the 2006 Pension Protection Act, which made withdrawals from 529 college-savings plans exempt from income taxes, interest in 529 plans has been...
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Franklin Templeton Forges Growth Path
Franklin Templeton Investments of San Mateo, Calif., appears to have found quite a sweet spot in the industry. Assets stand at $624 billion, the company...
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Branding Pays Off, Says Cerulli Study
In a crowded marketplace, large advertising budgets and careful branding strategies can play a significant role in a fund family's success, explains Cerulli Associates, the...
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IN BRIEF
On October 31, Thomas Faust became chairman and CEO of Eaton Vance, succeeding James Hawkes, who retired. This changing of the guard was announced in...
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Edward Jones in 2007: 'A Very Good Year'
Edward Jones continues to stay at the top of the customer and financial advisor satisfaction charts. But with Wachovia's plans to consolidate its brokerage business...
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FPA Leaders Chart Path for Group's Expansion
Marv Tuttle, executive director of the Denver-based Financial Planning Association, says he is "ecstatic" at the outcome of the group's 2007 annual convention, held September...
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Pershing Taps Tibergien; LPL Expands Relationship
Pershing, a Jersey City, N.J.-based unit of the Bank of New York Mellon, has turned to industry consultant Mark Tibergien, formerly of Moss Adams in...
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Securities Jobs Finally Take a Hit
The overall financial services sector made headline news with jobs falling by 14,000 for two months in a row (August and September), mainly as a...
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First Republic Bank Now Part of Merrill
Merrill Lynch has completed the merger of First Republic Bank, which is now part of Merrill Lynch Bank & Trust. First Republic, a private banking...
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Smith Barney Shares New '08 Comp Plan
Smith Barney started the year with the return of Sallie Krawcheck. The re-tapped head of Citigroup's global wealth management divisions pledged to focus on several...
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Time for Tech
Software companies are finding demand growth and other opportunities, which should life stock prices, according to an equity analyst. --- Marc GeallCitigroup+44-20-7986-4026marc.geall@citi.com Area of coverage: Software Sector outlook: We...
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Building the Income Pillar
Research: How should advisors approach the distribution phase?Bernard: Financial security approaching retirement has historically been built on the pillar of accumulation, which is all about...
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On the Front Lines
Three's the charm, and so it is with Gary W. Cotter's practice located inside the sunny retirement community of Sun City Center. In a career...
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Riding the Wave of the Future
Two years ago, at a conference Fran?ois Gadenne hosted on the emerging shift from asset accumulation to retirement income distribution, a man got up and...
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Lesson 10: Questions to Ask Annuity Wholesalers
Guaranteed living benefits (GLiBs) within variable annuities have evolved from being an ancillary benefit offered on a rather boring investment product, and have now grown...
Voices/Columnists
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Taking Back Money Management
As early as the mid-1980s, someone with an eye on the securities industry could forecast the end of the "customer's man," otherwise known as the...
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I Can Do That
Having frolicked in the financial services playground for the past 20 years, every now and then I come across the ambitious young buck who knows...
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Brain Trust
Imagine picking the brains of more than a dozen top-notch financial advisors on the key issue for most clients: retirement. That's exactly what Lyn Fisher...
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A New Consultative Model
As the industry has evolved, financial advisors and registered reps have continued to seek better ways to connect with and attract the right clients. Thought-leaders...
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Fast-Track Your Success
Are you completely satisfied with the financial success -- and quality of life -- provided by your business? Most financial advisors today have pretty good...
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Teaching Investors to Tell Time
Prof. Bodie combines the easy charm of an accomplished public speaker with the intellectual vigor and clarity of exposition of a Harvard-MIT-trained professor. He is...
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The Banking Bubble
China's two domestic stock markets caused a global panic in late February and early March when they dropped by nearly 10 percent in just a...
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