Beating The Bear 

Apr 1, 2008,

By Stan Luxenberg

Academics have long scorned actively managed mutual funds. Instead of spending money on managers who attempt to beat the market (however that is defined),...

How Low Can You Go? 

Apr 1, 2008,

By Stan Luxenberg

With credit markets jittery and the economy on the lip of recession (or in recession, depending upon whom you ask), real estate funds have plummeted....

Focused And Then Some 

Apr 1, 2008,

By Stan Luxenberg

Competing fiercely for the attention of investors, fund companies have brought out a wave of specialized offerings. Many of the choices which include...

GOOD TIMES, BAD TIMES 

Apr 1, 2008,

By John Churchill

If you work for one of the major wirehouses, you're in pain. If you're a commission-based rep, business is slow. And if you are a fee-based rep, your...

THE BEAR FACTS 

Apr 1, 2008,

David A. Geracioti

Bear markets are shrinking. According to Leuthold Weeden Institutional Research, in a typical post-WWII bear market, the S&P 500 declined 30 percent over...

Mini Mess 

Apr 1, 2008,

Christina Mucciolo

Fidelity Investments is paying big bucks ($3.75 million) in fines for, among other things, playing with little people. Thirteen Fido employees accepted...

COMINGS & GOINGS 

Apr 1, 2008,

Halah Touryalai

Wilkes Thomas Martin III joined Morgan Keegan & Co., Inc. as a financial advisor and senior vice president in the firm's Greenville office. Prior to joining...

THE FAILURE CHAIN 

Apr 1, 2008,

BY JOHN CHURCHILL

Consider the Curious and Rather Grotesque Case of Gary J. Gross, a financial advisor from (where else?) Boca Raton, Fla. Gross' U4 is close to 100 pages...

SMAs On The Rise 

Jan 1, 2008,

By Christina Mucciolo

Separately managed accounts are taking up a growing piece of the product-allocation pie, according to a recent study by Reuters AdvicePoint and research...

Meet the Retirement Geek 

Nov 1, 2007,

BY DAVID ADLER

Moshe Milevsky, professor of Finance at York University Canada, is a widely recognized innovator in the field of retirement-income planning, insurance...

The CMA Promise 

Nov 1, 2007,

By Guy Manuel Andre Cappon, Stephan Mignot, of The CBM Group, Inc.

Exactly 30 years ago, Merrill Lynch launched the first CMA (Cash Management Account). The revolutionary new product combined an investment account, a...

Setting the Perfect Price: a Fool's Errand? 

Nov 1, 2007,

BY CHRISTINA MUCCIOLO

Are you charging enough? That's hard to say. These days, discounting runs rampant in the financial-advisory industry: Firms allow giant haircuts on commissions,...

Stifel Who? 

Nov 1, 2007,

BY JOHN CHURCHILL

Takeover bait. It's a description most regional brokerage firms have become accustomed to and for good reason. Several have been gobbled up over the years,...

High Sat Scores, High Hedge Fund Returns? 

Oct 1, 2007,

Christina Mucciolo

Those darn SAT scores will always come back to haunt you especially if you're a hedge fund manager. At least according to the findings of a recent study...

Banking on Brokerage 

Oct 1, 2007,

By Susan Konig

Over the years, bank-based brokerages haven't posed much of a threat to Wall Street firms' pursuit of high-net-worth individuals. Most bank brokerages...

The Magic Metric 

Sep 1, 2007,

By Stan Luxenberg

For decades, investors and academics alike have sought the magic bullet, the one data point that would predict the future performance of mutual funds....

The Hot Seat 

Sep 1, 2007,

By Kevin Burke

When Bob McCann flew to Washington, D.C., on July 16 to meet with SEC Chairman Christopher Cox, it was a last-ditch effort to save fee-based brokerage accounts ...

From Theory to Practice 

Jun 1, 2007,

By David A. Geracioti

Best-selling author Peter L. Bernstein explains how heretical, academic research has become investing orthodoxy. And yet, Modern Portfolio Theory is under attack from behavioral finance theorists. Who is right?...

Yield Wizards 

Jun 1, 2007,

By Stan Luxenberg

A number of equity funds use dividend capture and call writing to produce fancy yields—but it takes a skilled manager to pull it off...

Robeco to Advisors: Go Dutch 

Jun 1, 2007,

By Kevin Burke

Robeco Investment Management, a unit of the largest independently owned money manager in Europe, snatched up four American asset managers and is now targeting U.S. retail financial advisors for the first time. Will advisors bite? ...

Cold Call: Bob Tilson 

Feb 1, 2007,

Kristen French

How did you celebrate the New Year? I stayed home and watched TV with my 13-year-old son, which we both enjoyed very much. ...

60 Seconds with Ron Kruszewski 

Feb 1, 2007,

John Churchill

Stifel Nicolaus, the quiet St. Louis-based regional, doubled its size in two years with its purchases of Legg Mason's capital markets group in 2005 and now Ryan Beck, Bank Atlantic's brokerage arm, in January....

Cold Call: Ralph Parks 

Nov 1, 2006,

Kristen French

Interview with Ralph Parks, founder of Ralph Parks Investment Group in Pittsford NY...

60 Seconds with...Curtis Teberg 

Nov 1, 2006,

Kevin Burke

Market historian and portfolio manager of the Teberg Fund, a fund of funds...

Future Wealth 

Nov 1, 2006,

By David A. Geracioti

Alvin Toffler and his wife, Heidi, authors of the classic, Future Shock, argue that economists stink at forecasting, that wealth is moving from the West to the East...

The Trouble with Performance-Based Fees 

Nov 1, 2006,

By Kevin Burke

A handful of money managers have placed incentive fees on some of their funds, but inherent flaws and an unproven track record are enough to give advisors pause...

The Heretic 

Nov 1, 2006,

By Cheryl Winokur Munk

These days, it's all about open architecture. Money manager Kenneth Fisher is having none of that. Fisher hires reps to gather assets for him to run on a discretionary basis...

Pre-Presidential Rally Starts Now 

Nov 1, 2006,

Kevin Burke

Curtis Teberg, market historian, former broker and portfolio manager of the tiny $35 million Teberg Fund in Duluth, Minn., is betting on a monster rally in the stock market during mid-term elections...

Mission USA 

Oct 1, 2006,

By John Churchill

UBS rocks in Europe and Asia - but not in the USA. How new US retail brokerage chief Marten Hoekstra intends to improve the performance of the US unit...

60 Seconds with...David Tyrie 

Oct 1, 2006,

Kevin Burke

David Tyrie, head of Putnam's retirement services unit, works directly with 401(k) sponsors and financial advisors. We sat down with Tyrie to get the...

Save for Retirement, or Else 

Oct 1, 2006,

By David A. Geracioti

Now that the defined benefit plan is in decline, Americans will ahve to take charge of their retirement. How to get employees to participate? How to save Social Security? Robert Pozen, a retirement expert and chairman of MFS, on what needs to be done....

Not the Man, But the Machine 

Sep 1, 2006,

BY KEVIN BURKE

Quantitative mutual funds, dubbed “black box” investments for their strict adherence to quantitative metrics and technical analysis, have come into vogue this year...

A Colossus Is Born 

Sep 1, 2006,

By Kevin Burke

Larry Fink is something of a rock star. For starters, Fink has built his asset-management company, the New York-based BlackRock, into the third-largest bond manager in the U.S., with some $450 billion in assets....

RIA Asset Boom 

Sep 1, 2006,

Kristen French

For the third year in a row, the registered investment advisor (RIA) industry enjoyed strong asset growth. ...

60 Seconds with...Kevin Rowell 

Sep 1, 2006,

Kevin Burke

Kevin Rowell is no stranger to advisors. A longtime executive at some of the nation's largest broker-sold fund shops, he was recruited away from Charles Schwab in January to boost slumping sales at Pioneer Investments...

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Registered Rep Cover

A FALSE SENSE OF SECURITY

May 1, 2008

Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security. Defaults are even rarer than failed...

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Wall Streets Bull and How to Bear It 

"There are two requirements for success in Wall Street. One, you have to think correctly; and secondly, you have to think independently." - Benjamin Graham. "Wall Street's Bull and How to Bear It" was written to encourage a strong commitment between investment advisors and their clients. The book identifies a unified set of core beliefs that advisors and their clients should share....

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