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Wachovia breaks down a wall

June 14, 2004

SAN FRANCISCO - Wachovia Securities Financial Network LLC feasted on wirehouse brokers last year, but now it is preparing to cannibalize its own. The Richmond, Va.-based independent-broker-dealer arm of Wachovia Securities LLC is developing...

Bank referral fees under the knife?

June 14, 2004

WASHINGTON - Many banks will have to cut the fees they pay to employees who refer clients to their brokerage affiliates under a proposal made by the Securities and Exchange Commission. Banks that are in the brokerage business have expressed...

UBS takes fee-only cue from independent RIAs

June 7, 2004

UBS AG, one of the world's largest investment managers, has quietly launched a venture that takes its cues from the independent fee-only financial planning firms. While large institutions tend to tie financial planning to the sale of products,...

Moving Up

June 7, 2004

* The Securities and Exchange Commission in Washington has promoted Peter H. Bresnan, 49, to associate director in the enforcement division, from deputy chief litigation counsel. He will assist in planning and directing the commission's investigations...

VA assets surpass $1 trillion in 1Q

May 31, 2004

VA assets surpass $1 trillion in 1Q * The combined net assets of U.S. variable annuities broke through the $1 trillion mark in the first quarter for the first time since the stock market's peak in 2000, the National Association for Variable...

Moving Up

March 22, 2004

* Brinker Capital Inc. in King of Prussia, Pa., has promoted John E. Coyne III, 48, to president, from national director of sales and marketing. He is a registered securities principal and also serves as president of Brinker Capital Securities...

Peter Wall "You want to keep your clients focused on their long-term investment goals"

March 15, 2004

The state of the U.S. economy sometimes keeps Peter Wall up at night. The chief investment officer for Chase Personal Financial Services, a division of J.P. Morgan Chase & Co. in New York, is concerned about the impact of fewer jobs, a falling...

Trying to avoid a bad `wrap'

March 8, 2004

The $500 billion separately managed accounts industry is working to maintain its squeaky-clean image, particularly in regard to the full disclosure and breakdown of fees charged to investors. While the separates industry hasn't been lumped in...

Advisers blase over Stewart conviction

March 8, 2004

Advisers blase over Stewart conviction * Financial planners and advisers showed little surprise that a federal jury found Martha Stewart and her stockbroker, Peter Bacanovic, guilty of lying to investigators and obstruction of justice. Ms. Stewart...

Fund reform may cost billions in lost fees

March 1, 2004

The wave of legislation aimed at financial services firms could cost the industry as much as $16 billion annually in fees, according to one analyst. But that is a "worst-case scenario," stressed Glenn Schorr, a stock analyst with UBS Investment...

Key to annuity growth: Focus on forest, not trees

February 23, 2004

For the variable annuity industry to grow, companies need to stop focusing on taking market share away from one another and concentrate on overall market growth. ``I'll be honest with you: Up until three years ago, I didn't care about growing...

Strong sales growth last year augurs well for 2004

February 9, 2004

A booming stock market and popular optional riders helped put some zing back into variable annuity sales in 2003, with a few insurance companies reporting record sales for the year. The Hartford in Connecticut, Jackson National Life Insurance...

Is `independent' ETF research strictly that?

January 26, 2004

Barclays Global Investors is finding success selling its exchange traded funds to stockbrokers by aligning itself with a little-known company that operates on the outskirts of Richmond, Va. It is a story of a lion and a mouse teaming up effectively...

Market rally, though tempered, likely to continue

January 12, 2004

The bad news about 2004 is that the easy money was made last year. The good news is that the equity market comeback isn't quite over yet. The Standard & Poor's 500 stock index will likely rise between 5% and 10% this year, according to most...

Top 100 firms ranked by worldwide retail and high-net-worth assets

December 15, 2003

Manager 2002 2001 1 Fidelity Investments 334,564 368,374 2 Vanguard Group 331,128 339,317 3 Deutsche Asset Mgmt 306,592 237,481 4 Capital Research and Management 274,667 270,483 5 Merrill Lynch 226,427 262,655 6 Citigroup Asset Mgmt 218,300...

Fast Track: Gartmore gets serious about separates

November 3, 2003

If there was any doubt as to Gartmore Global Investments Inc.'s commitment to separately managed accounts, it was put to rest with the August hiring of Richard A. Hein. Mr. Hein, 43, steps into the newly created position of senior vice president...

Moving Up

November 3, 2003

* Smith Barney Inc. in New York has hired Ben Mitchell, 53, as director of national sales. Mr. Mitchell is responsible for organizing and directing the consulting group's institutional and private-investor sales, and client service initiatives....

Moving Up

October 20, 2003

* Turner Investment Partners Inc. in Berwyn, Pa., has hired Daniel R. McFadden, 43, as director of client services. He will be responsible for coordinating the investment process, strategies and performance, and clients' needs and feedback....

Hedging without a hedge fund

October 13, 2003

Hedging without the hassles of a hedge fund has found its way into the separately managed accounts industry. State Street Global Advisors Inc. in Boston has entered into an exclusive one-year agreement with UBS Financial Services Inc. in New...

Reality bites for some reality stars

September 22, 2003

If nothing else, reality TV may be good for financial advisers. When 12.3 million viewers tuned in two weeks ago to watch the two-hour finale of NBC's hit reality show "For Love or Money 2," they got more than a lesson on the mating rituals...

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