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IMCA Roundup: A Ray of Hope in Equities, Munis  

Feb 1, 2012

By Diana Britton

The European debt crisis and global economic uncertainty were the dark clouds hanging over the Investment Management Consultant Association’s conference in New York recently. ...

Raymond James Posts Lower Earnings, Revenues on Market Headwinds  

Jan 26, 2012

By Diana Britton

Raymond James Financial (NYSE: RJF) reported fiscal 2012 first quarter revenue fell four percent to $782.5 million, while earnings were down 18% to $67.3 million. ...

Aite Group: What’s in store for 2012  

Jan 23, 2012

By John Aidan Byrne

Margin pressure, upheaval in advisory business models, lack of certainty in the market – most of the current trends in the wealth management industry can be traced back to the global financial crisis in 2008. Three years after the world fell apart, the industry is still adjusting to the aftershocks....

Schwab Posts Higher Profits, Lower Advisor Net Assets  

Jan 19, 2012

By Jerry Gleeson

Charles Schwab Corp. is still leading the race for advisor assets, but a muddled economic recovery is taking the steam out of its stride. ...

At Economic Outlook Forum, a Buffet of What-Ifs  

Jan 5, 2012

By Jerry Gleeson

After the volatility of 2011, forecasting has become a dicey business. A panel of experts at Prudential’s 2012 Global Economic and Retirement Outlook briefing today in Manhattan offered some tentative reasons to believe that better days are ahead, but cautioned that turbulence will persist this year....

Presidential Decline? 

Jan 1, 2012

By Diana Britton

Equities typically advance in the third year of a presidential cycle. If 2011 turns in sub-par returns, what should we expect in 2012?...

Wanted: Women 

Jan 1, 2012

By Kristen French

Women FAs are in greater demand, but wirehouses have their work cut out for them. ...

Forensic Analysis Says Avoid Energy & Financial Stocks  

Nov 15, 2011

By David Trainer

As one financial scandal follows another, it seems the good guys are having a tougher time catching the bad guys. Recent revelations about MF Global’s bankruptcy are reminders of how our regulatory and oversight systems seem to let whales pass through their nets...

MSSB Scales Back on Risk Assets; Dials Up Cash, Managed Futures  

Nov 9, 2011

By Diana Britton

With the chances of a recession increasing, Morgan Stanley Smith Barney has dialed back on risk assets in its portfolio, underweighting global equities, commodities and REITs, and boosting allocations to safe havens, such as cash, bonds and managed futures, the firm said during a press briefing Wednesday morning. ...

Chuck Talks at Impact: Obama Not the Right Leader  

Nov 4, 2011

By Jerry Gleeson

The U.S. economy is poised for improvement, but a change in national leadership is key, Charles Schwab told an auditorium of financial advisors at San Francisco’s Moscone Center who had come for the Charles Schwab Corp.’s annual IMPACT convention. ...

Dump Emerging Markets for U.S. Equities?  

Nov 1, 2011

By Diana Britton

While emerging market stocks have been touted for the last couple years as the investment du jour, the message at an Eaton Vance outlook event this morning was quite the contrary....

Gibson: You Can’t “Hedge the World’ for Clients  

Oct 28, 2011

By Jerry Gleeson

How rattled were people in the heat of the 2008 financial crisis? Gibson Capital LLC founder and author Roger C. Gibson recalled being asked by three or four clients whether the S&P 500 would drop to zero. Perhaps it wasn’t a lot of people, he said, considering his practice served 100 investors; but Gibson knew that if just a few were asking about the prospect of such an extraordinary possibility, a lot more were quietly thinking about it....

How to Guide Your FAs through Turbulent Times  

Oct 10, 2011

By Susan Konig

As the market volatility that re-emerged this past August continues, advisors in your branch are likely feeling the kind of pain and anxiety they did at the height of the financial crisis in 2008. ...

Retail Investors Still Risk Averse, Pull Money Out of Equity Mutual Funds  

Sep 1, 2011

By Diana Britton

Despite an opportunity to buy stocks on the cheap, retail investors still have a risk-adverse bias, according to recent fund flows. Year-to-date through July, investors have yanked $17.8 billion from equity mutual funds, with outflows of about $31.6 billion in July and $22.9 billion in June, according to the Investment Company Institute. Meanwhile, about $95.4 billion has flowed into taxable bond mutual funds through July, including inflows of $12 billion in June and $9.8 billion in July, ICI said....

Wealth Managers: Summer Swoon Not Re-Run of ’08; But Recession Worries Remain  

Aug 16, 2011

By Charles Paikert

Despite stomach-churning market volatility and continuing economic uncertainty, the summer swoon of 2011 is still a far cry from the perilous plunge that shook the country in 2008, say wealth managers and family office executives....

Bill Gross Puts Damper on Morningstar Conference with Bearish Keynote  

Jun 10, 2011

By Jerry Gleeson

Financial advisors are considered an optimistic, if cranky, lot in the aggregate, but that sentiment was put to the test this week by bond guru William Gross, the keynote speaker at the annual Morningstar Investment Conference in Chicago this week...

Brown: Greece Is a European Problem, Not a Greek Problem  

Jun 10, 2011

By Diana Britton

During Pershing’s INSITE 2011 conference in Hollywood, Fla., this week, Gordon Brown, the former prime minister of Great Britain, told attendees that Greece’s economic trouble is a European problem, not a Greek problem, and the only solution is to get all of Europe’s leaders together to address the three underlying causes. ...

Double Dip Recession Is Unlikely, Says Hoey  

Jun 9, 2011

By Diana Britton

It’s unlikely we’re headed for a double dip recession, but we are in a “sub cycle slowdown in a sustainable economic expansion,” said Richard Hoey, chief economist at BNY Mellon and the Dreyfus Corporation...

Dog Days of Summer: Advisors Brace for Slow Months Ahead  

Jun 2, 2011

By Diana Britton

Advisors are expecting the summer doldrums to kick in for the stock market and the economy over the next few months, according to Rydex|SGI’s Advisor Confidence Index...

The Doomsday Scenarios: Is There a Bubble in Boom-Bust Books? 

Jun 1, 2011

By Nate Wendler

The last decade has seen both the tech wreck and the housing bubble burst, leaving greater skepticism about financial institutions and a deeper interest in identifying “bubbles” amongst both the professional and investing public...

Despite Long Bull Market, Fund Investors Are Still Cautious  

May 10, 2011

By Stan Luxenberg

Advisors don’t appreciate how cautious clients have become, said speakers at the Investment Company Institute’s recent general membership meeting in Washington yesterday. Despite two years of rising markets, clients continue to hold big amounts of cash...

National Debt is No. 1 Worry For Wealthy, Good Focus For Client Conversations  

May 9, 2011

By John Aidan Byrne

The economic threat from unsustainable U.S. national debt—over $14 trillion and counting—is the No.1 concern today for many of the nation's wealthiest families and individuals, according to a new report slated to be released later today by UBS Wealth Management Americas...

RJFS’s Averitt: Tax Hikes Must Be Part of U.S. Deficit Solution  

May 5, 2011

By Jerry Gleeson

Broker/dealer executives who speak at their national conventions often aim for a tone that rallies the troops, and the Raymond James Financial Services conference in Las Vegas this week followed the pattern—with one surprising exception during Chief Executive Dick Averitt’s address...

Trading, Fees Lift Schwab Profits Higher  

Apr 15, 2011

By Jerry Gleeson

Continued growth in client trading and fees helped drive profits at Charles Schwab Corp. to higher-than-expected levels for the first quarter, the company said today. Meanwhile, assets in its RIA unit, Schwab Advisor Services, reached a record $688.6 billion, up 10 percent year over year. Total assets at the nation’s largest discount broker rose to $1.65 trillion, also a record...

A Bond Bear Market? Not to Worry, Follow Vanguard’s Bogle’s System 

Apr 5, 2011

By Stan Luxenberg

Worried that interest rates could rise for years to come, some investors have been dumping their bonds. But the extreme bears are probably overreacting...

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In This Issue: February 2012

Cover Story

Got the Social Media Spins? Help Is On The Way

A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.


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