Friday, 20 July 2012

No Pot Luck Investing Will Help You With Great Returns

By Gwendolyn L. Brooks


I know from experience there is now a professional, well-trained elite, supported by large institutions, that is adept and willing to use corrupt practices to accumulate wealth. Despite assurances from game-theorists and anthropologists that the criminal cadre in the species remains a constant percentage over time.

It is partly, of course, simple stock market brokers and boardroom greed, a cousin to the greed and gargantuan rewards in entertainment and sports. It is partly the degradation of professional standards, of the concept of the fiduciary, akin to the same market-driven devolution in divergent fields such as medical care, Hollywood, publishing and, yes, journalism.

The majority for the riches of the techno-boomers and baby billionaires was way more than many titans of less glamorous industries could bear and in virtually all companies executive salaries soared beyond all proportions of the post-war era. And in many of those executive suites, greed morphed into felony -- Tyco, Enron, Rite-Aid, Adelphia, Global Crossing, WorldCom, ImClone, Lucent, KMart, MicroStrategy, Qwest Communications. And then scandals at the supposed auditors, like Arthur Andersen, insulted the injury.

As the market turned down, the corporate crime spree didn't wane as some theorists said it should. Hot stocks, IPO's, M&A were no longer where the Willy Suttons with MBAs, Turnbull & Asser shirts and Patek Philipe watches saw the money. They saw it in those huge piles of money accumulated by working people for savings and retirement -- corporate pension funds, public pension funds, 401(k)'s and mutual funds. Who would notice a few mil or bil siphoned off in arcane late-trading deals? They'll never know what hit them.

The slow down down of buying mutual funds is exaggerated. Funds have grown and adapted over their 80-year history and continue to meet investors' needs for diversification and professional management. Better tools to analyze and select funds mean CPA/financial planners can make better use of them in client portfolios.

Most mutual funds have increased their industry and sector fund offerings in areas such as energy, financial services, health care or technology. Exchange-traded funds also are a popular alternative for clients concerned about the tax consequences of mutual fund investing. And mutual fund companies also are making more hedge funds and funds-of-funds available.

As originally conceived, mutual funds had serious flaws, some of which are described here. The industry responded. Total shareholder costs on equity mutual funds declined 40% over the last two decades, funds now come in every size and flavor and management has worked diligently to reduce the annual bite for taxable investors by lowering portfolio turnover.

Congress is considering legislation that would eliminate the need for mutual funds to distribute capital gains annually. Shareholders would instead pay taxes on gains when they redeem their shares. And the SEC has issued new regulations requiring accuracy in fund naming--a fund must invest 80% of its assets in its namesake.

For example, Fidelity gives investors access to 41 discrete industries. Some mutual fund companies also are responding to the exploding demand for the absolute return strategies of hedge funds and private equity funds that invest in pre-IPO equity and other nonpublic securities.

Generally, having five to eight funds in your fund portfolio should meet your investing needs. The key to your strategy is figuring out your timeframe, risk level and asset allocation first before looking at fund categories and finally plugging in the actual funds.




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