Research Magazine September 2007
Cover Story
The Winner's Circle
What is the quickest way to build a Winner's Circle-quality team? In each of the Winner's Circle teams, we consistently found that it took many...
Features
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Keeping Clearing Clients Happy
Freud famously asked: What do women want? Women, of course, want what clearing-firm clients want: to be listened to. Listening is a simple concept; yet...
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Ten Tech Tools You Can Use
Think about it: Labor prices only go up, while technology prices drop over time. Which do you want to pursue as a first line of...
News
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New Treasury Funds
Five U.S. Treasury ETFs from Ameristock have launched on the American Stock Exchange (AMEX). The funds will track Ryan Treasury Indexes, which track government bonds...
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Nasdaq Makes New Move
The three major U.S. stock exchanges continue to jockey for bragging rights in the burgeoning ETF landscape. In its latest move, the Nasdaq Stock Market announced...
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Housing Slumps, ETFs Suffer
After several years of outsized gains, homebuilding stocks are slumping. Slow job growth and falling home prices throughout the U.S. are putting a damper on...
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ETF Fact or Fiction?
In just the last year, the number of exchange-traded funds (ETFs) on the market has shot from 267 to well over 500, with a backlog...
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Need More Global ETFs?
Throughout the year, international stocks have been on a tear and investors can't seem to get enough exposure to overseas opportunities in any form. On the...
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Clients or Customers?
It's great to be in the top tier of your profession, and it's certainly fun to read, and maybe even fantasize, about obtaining public recognition...
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U.S. Nest Egg: $16.4 Trillion
The Investment Company Institute, the mutual fund trade group, says savings and market gains have helped push U.S. retirement savings to $16.4 trillion as of...
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Legg Mason After Citigroup Swap: New Distribution Model, Growing Assets
Baltimore-based Legg Mason, which struck a deal with Citigroup in 2005 to swap its brokers for Citi's asset-management business, saw its total AUM grow to...
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Alger Tells China Story, Closes Some Funds
While recalls on some goods made in China have been grabbing headlines, certain mutual funds that focus on China remain untainted by the scandals. The...
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Summit Adds to Growth Recipe
Summit Mutual Funds says the marketing efforts it's extended to the advisor community over the past two years are paying off. Net inflows in the...
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Positve New Inflows Return to Janus
As of the second quarter, Janus Capital Group's total assets under management stand at $190.6 billion, an increase of 8.2 percent compared with $176.2 billion...
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HighMark's Goerz: Return to Normalcy
The chief investment officer of HighMark Capital Management, David Goerz, says the investment group's views are generally not swayed by the recent volatility. "It has...
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Growth Time
The results of Morgan Stanley's global wealth management group have improved over the past five quarters. What's helped you bring about this change?We've assembled a...
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Merrill Posts 2Q Results; Bank Deal Moves Ahead
In the second quarter, Merrill Lynch's global wealth management unit had net sales of $3.6 billion, a jump of 18 percent over the year-ago period....
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Raymond James Attracts 71, Adds 07-08 Bonuses
During the second quarter of 2007, Raymond James Private Client Group recruited 71 new financial advisors, with 40 joining its employee channel -- Raymond James...
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Healthy Pipeline
New drug developments, partnerships and clinical-trial results could propel the sector this year, analysts say. --- Larry NeiborRobert W. Baird & Co. 414-765-3791lneibor@rwbaird.com Area of coverage: Specialty Pharmaceuticals Sector...
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Free and Clear
Research: What's so great about the independent advisory business?Grist: The wirehouse has done a good job keeping this little gem of the industry quiet, but...
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A Broker's Broker
Last June, when the financially troubled Brookstreet Securities Corp. collapsed, some 500 advisors were instantly out of work. Behind the scenes, recruiter Larry Papike was...
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A New Direction
It was high time to cut the cord. Not that cord. The imaginary cord that tethered Aaron L. Saperstein, a then-transactional broker, from his office...
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Lesson 8: Defined Benefit Pensions: Winners & Losers
Most professionals in the financial services industry are now aware of the continuing decline of traditional private-sector defined benefit (DB) pensions. Each new company press...
Voices/Columnists
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The Good Way to Sell - Part Seven
Let's wrap up this series on profiling. If you have been following so far, you know that some months ago I asked my readers to...
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The New Riders
I had the opportunity to hang out with a group of variable annuity wholesalers at a recent broker conference. While they all tried to outdo...
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Retirement Well-Being
You've seen the advertisements. They show baby boomer couples planning for the "new retirement"-- energetic, youthful, purposeful. Retirement advertisements are obviously about much more than money....
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Mind Your Business
As a financial advisor, it goes without saying that you're in business. And as someone who's in business, it should also go without saying that...
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Investing in the Advisor
Fraunces' Tavern is so steeped in history, it has a museum attached to it. Founded in 1762, it played an important role in the Revolution...
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No Go in Tokyo
When Fidelity announced last May that it is moving its Japanese equities trading desk, which manages U.S.$47 billion of Japanese assets, from Tokyo to Hong...
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