Research Magazine October 2008
Cover Story
2008 ETF Advisor Hall of Fame: Pioneers in Portfolio Management
Welcome to Research magazine's second annual ETF Hall of Fame. This year, we honor two sole practitioners and a team of three. All the advisors...
Features
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How the Election Will Affect the Markets and Economy
McCain or Obama? Prosperity or recession? Do characterizations by party affiliation still hold water? Not necessarily. We've seen Democratic presidents accumulate impressive budget surpluses, and Republican...
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The Investment Classics
In the middle decades of the 20th century, investment strategy took on a newly serious demeanor. Stock picking began to be something investors could think...
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Are You a Stock or a Bond?
Pensions Are Dying; Long Live Pensions"...At present, the only way a company can manage the risk of long-lived workers is to work them so hard...
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Advisors in Motion
Wall Street's ugly industry stumbles will likely result in a stream of broker defections next year as advisors seek to distance themselves from sullied firms...
News
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Go Global
The 19th-century American catch phrase "Go West, young man" is attributed to New York newspaper editor Horace Greeley, who used it in an 1865 editorial....
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Expenses Steady in Q2
During the second quarter, the expense ratios in most exchange-traded fund (ETF) and exchange-traded note (ETN) asset categories increased modestly or remained the same from...
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What Would Graham Say?
Who would've thought to package the value-oriented investment philosophy of the famed Benjamin Graham into an index based financial product? Never short on ideas, Wall Street...
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ING Pushes Its Portfolios
As the boom in the number of exchange-traded funds (ETFs) and exchange-traded notes (ETNs) continues, another related boom is happening: model portfolios that utilize these...
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Van Eck Launched Mideast ETF
When it rains it pours. And lately, it's been pouring Middle East-focused exchange-traded funds. Van Eck Global is the latest provider to introduce an ETF focused...
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ETF Assets Decline by $32 Billion
According to the Investment Company Institute (ICI), the combined assets of U.S. exchange-traded funds fell $32.25 billion to $578.07 billion in June. Even though this is...
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Fundamentals Deliver Mixed Results
Is fundamental indexing a better way to invest? A quick gander at the industry-sector exchange-traded funds following these alternative indexing strategies reveals a mixed bag in...
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SPDRs Target International Sectors
State Street Global has unveiled 10 new SPDR exchange-traded funds. The new set of ETFs provides exposure to international industry sectors. Each ETF is linked...
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Financial Eminences
Autumn is back-to-school season, a time to hunker down in a library or your personal study with a good book and caffeinated beverage of your...
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REITs: Worth Another Look?
Investors have traditionally flocked to real estate investment trusts (REITs) for dividends, but over the past few years they've been getting a lot more: capital...
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As Goes Lehman, So Go Its ETNs
The stunning collapse of major financial institutions like Bear Stearns and Lehman Brothers Holdings has heightened the scrutiny of obscure financial products issued by these...
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Energy ETFs Hit by Lower Oil Prices, Political Fallout
The sun was shining on solar power and other renewable sectors at the end of September when the U.S. Senate passed a bill (the Energy...
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Credit-Crisi Fallout and Financials
Financials are the home of the country's scariest roller coaster ride. Furious down days are followed by hope filled rallies. The government has tried everything...
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Claymore ETF Changes Index
The Claymore/BBD High Income Index ETF (LVL) has changed its name and underlying index. The fund has been renamed the Claymore S&P Global Dividend Opportunities...
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MacroShares Plans Securities Tracking Home Prices
MacroShares Housing Depositor plans to introduce two exchange-traded securities that will track the price movement of U.S. housing. The new securities will allow investors to...
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Fund Firms Embrace Treasury Program
In a move to boost investor's confidence in money market mutual funds, major fund companies have met the U.S. Treasury's October 8 deadline by joining...
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Bailouts & Benefits
Prevention is the best cure. Turning off the credit spigot in time would have been the most effective way to prevent the current financial meltdown....
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New CEOs at Vanguard, Pimco
Bill McNabb has succeeded Jack Brennan as Vanguard's CEO, making him the third CEO in Vanguard's 33 years as an investment firm. Brennan remains chairman...
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Fidelity Study Highlights Workplace-Savings Trends
Fidelity Investments says that during the first half of 2008, American workers are continuing to contribute to their workplace-savings plans despite current market volatility. Plus,...
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Rydex to Help FAs with New Infomation Push
Rydex Investments is rolling out a campaign for financial advisors that focuses on how alternative investments can be added to a portfolio to achieve true...
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JPMorgan Expert: Watch 401(k) Loans!
Anne Lester, managing director and senior portfolio manager for the global multi-asset group of JPMorgan Asset Management, recently co-wrote a report on market volatility and...
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Fred Alger Shifts Brands, Consolidates Funds
Fred Alger Management, which has some $14 billion in AUM, has recently consolidated its open-end mutual funds under the "Alger" brand. This move includes the...
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ARS Deals Reached with Cuomo, Others
Merrill Lynch, UBS, Wachovia, Citigroup, Morgan Stanley and other firms recently resolved a series of issues with New York Attorney General Andrew Cuomo and other...
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Is Cuomo Hurting Wall Street?
Is Cuomo Hurting Wall Street? While New York Attorney General Andrew M. Cuomo and the wirehouse broker-dealers say they are "pleased" with their recent ARS settlements,...
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Wachovia Taps BofA Exec for Chief Investment Slot
Wachovia Securities says Tom McManus, formerly managing director and chief investment strategist at Banc of America Securities, has joined the firm as its new chief...
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LPL Financial Has a New CFO
LPL Financial has appointed Robert Moore to serve as its new CFO. He succeeds Bill Maher, who had been with the company since 2005 and...
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UBS Restructures, Tweaks Compensation
Following a second-quarter loss of about $330 million, UBS says it will separate its business divisions into three separate units, with each having more operational...
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Morgan Stanley Targets Native Americans
Marketing/High-Net-WorthMorgan Stanley Targeting Native-American Clients Morgan Stanley says it has hired a team to serve high-net-worth clients in the Native American market. Based in Los Angeles,...
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The Mutual Benefits of 401(k) Plans
For many employees and executives, their 401(k) plans have become a large part of their retirement savings. The plans are also important for employers, though,...
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VAs: What's New?
Variable annuities have undergone and are still undergoing constant improvement, experts say, and a more advisors than before are willing to consider them for clients. Research...
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Five Questions for the Retirement Advisor
David Aigner, Morgan Stanley Global Wealth Management Group, Senior Vice President/Financial Advisor, Houston 1. What has hit you or your clients out of left field, and...
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How Prepared Are You?
A recent survey of registered investment advisors by Spectrem Group of Chicago for Ameritas Advisor Services found that although 63 percent of advisors expect retirement...
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Significant Value
Commodity prices may shift in the short term, but the long-term demand outlook for energy and new deals are steadily propelling the sector in positive...
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A Conversation with David Salisbury of the Employee Benefit Research Institute
One of the most enjoyable and enlightening conversations I've ever experienced was with Dallas Salisbury, president & CEO of Washington-based Employee Benefit Research Institute. For...
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Mind Over Money
In Act I of his career, James Grubman, Ph.D., collaborated with physicians to help patients battling the psychological stresses of head injuries, strokes and chronic...
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Carry the News
When marketing consultant Peter Kaufman talks to financial advisors about what makes them different, he often gets this response: "I'm not like other advisors. I...
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Balance Sheet Structure
Some questions bring into sharp focus the difference between investing for accumulation versus investing for retirement income. For example, a key question to consider is: Should...
Voices/Columnists
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Get Published!
Speaking of credibility, let me just get mine out of the way. Since January 1984, I have had an article published in a major trade...
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And They're Off!
Are they horses or wholesalers? That was my first thought as I entered the hotel lobby for my broker-dealer's most recent national conference. The room...
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Meet the Rich
How do the most affluent, the top 20 percent (quintile), think? What motivates them? Industry consultant Matt Oechsli addresses these issues in his newest title:...
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A Bridge of Understanding
Mitch Anthony, an industry leader in relationship skills, has long noted the transformation of the industry from being product-oriented to client-oriented. In his new book,...
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Universal Standards
In my last article, I relayed the startling statistic that by the end of this year, the number of non-U.S. CFP certificants will almost surely...
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Vision and Execution
Albert Einstein once famously said, "Vision without execution is hallucination." It's equally true, however, that "Execution without vision is chaos." These principles are two sides...
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Waiting for the Other Shoe to Drop?
I chose this elegant eatery near the World Financial Center and half a mile uptown from Wall Street for a reason. A little more than...
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Greenspan's Legacy
A newspaper story once alleged that some traders at a Wall Street brokerage house had a shrine dedicated to Federal Reserve chairman Alan Greenspan, in...
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