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Apr 30, 2009 10:15 pm

Question for you traders out there.  My practice is about 40% mutual funds, 25% stocks, 25% Variable Annuities and 10% Bonds. 

  I've noticed the more stocks I'm in the harder it is to stay on top of them.  As my stock picks go up many times I don't want to be a buyer but hold on to them since I think there is still huge upside long term.  So I will pick up better deals in new stocks that I like therefore building a bigger portfolio of different stocks.    My question how do you handle a lot of stocks to manage and find time to get new clients?  Do you think it's better to slim down the stock positions and do more mutual fund business.   Thanx   BiLo
May 1, 2009 1:39 am

I would ask Morphius if I were you.

May 1, 2009 3:47 am


May 1, 2009 1:01 pm

I would agree.  Unless you are an RIA running stock models with discretion, the “stock broker” model is sort of dead.  It’s tough to call 300 people when you have an “idea”.  Even back in the stock-brokerage hey-days, the firms did the “research” (or told you which stocks to sell because they were underwriting them), and you just called folks all day long.  But if you are doing your own research, it doesn’t leave much time for client contact.  It’s tought to do both these days.

May 1, 2009 2:26 pm


  I don't understand why not bonds.  1-5 year high grade corporates are pretty desent right now.  I like the discount bonds and sell the fact that at maturity the client gets their 1,000 per bond.  It's an easy sell for me and a way to gather assets.  It doesn't pay much but I think it positions me for a bigger payday down the road when those bonds mature.    Why don't you like individual bonds except for wealthy people? 
May 1, 2009 3:09 pm

I agree with the advice about staying away from individual stocks.

  Research has shown that 96% of investment returns come from proper asset allocation and only 4% from what you're buying and when. Just use mutual funds - index or actively managed or both - for growth, and individual bonds for stability or to satisfy a client's need for steady income.
May 1, 2009 3:28 pm

Borker, I used to use that research data too. I can almost guarantee they didn’t take any of the data from wealthy folks portfolios though.

May 1, 2009 5:51 pm

I think the idea would be that for wealthy folks, you are using 3rd party managers (vs. funds) for indivdual securities, not scouring the globe for your own ideas.

May 1, 2009 5:54 pm

I agree with you Borker albiet not 96% more like 65% are the studies I believe but there are people out there that want to trade stocks and they want to use a broker.  Is there software out there that helps you manage it or should I tell me clients I think managed money is wiser but if they want to buy individual stocks this is what I recommend?  By the way you need to keep an eye on it Mr. Client.

May 1, 2009 6:38 pm

The statistics are still applicable to my situation, because my clients are no longer wealthy.

May 1, 2009 6:52 pm


My method of stock picking - pick 5 penny stocks. Odds are one will go to zero. Three will flounder and one will be a rock star stock.

Blind leading the blind!

May 1, 2009 11:18 pm
Sam Houston:

I would ask Morphius if I were you.