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The Coming Catastrophe For High Fee Active Managers

Back in 2009, I wrote a very critical piece on mutual funds, basically calling them antiquated products that do the American public a disservice.¹ My general message wasn’t to bash active management. After all, I agree with Rick Ferri here – there’s no such thing as passive investing. There are only degrees of active investing. But there are smart ways to be active and very silly ways to be active. Mutual funds are usually a silly way to be active, as they sell the low probability of market-beating returns in exchange for the guarantee of high fees and taxes. What I pointed out back in 2009 was that the mutual fund industry was bloated with closet indexing funds – funds that essentially track an index and charge a huge premium for it. I said this had to end. And thankfully, it looks like the mad rush for the exits is beginning. This isn’t only true for mutual funds. This is a trend that will span all of the high fee management space. And I suspect it will go a bit like this: Mutual funds will become an increasingly antiquated product as investors realize they lack many of the advantages of ETFs and other product wrappers. Some will thrive (such as Vanguard’s low fee funds); however, the majority of the space will continue to dwindle as investors realize that most of the space is just bloated fee-sucking closet index funds. What assets they do retain will be primarily legacy assets in 401(k) plans that have failed to update their fund options. Hedge funds will do better retaining assets, primarily due to strategy differentiation. Thanks to greater legal flexibility, many of these funds will continue to thrive, and AUM could even increase as the migration from alpha-searching mutual funds bolsters the hedge fund space. Guru worship and alpha chasing (both misguided pursuits, in my opinion) will be tailwinds. Hedge funds, on the whole, will not be able to justify their high fees, but the chase for market-beating returns will always leave the hedge fund space with a clientele to embrace and shower with high fees. See also: Why Hedge Funds are Sucking Wind. Fees in the advisory space will come under fire as RIAs adopt index funds and “passive” strategies, but also continue to charge the same 1% fee under the guise of an “advisory fee” instead of an expense ratio. Investors will slowly realize that their advisor charging 1% per year is doing just as much damage as the old mutual fund that charged 1% for a closet indexing approach. See also: Indexing Doesn’t Win When it’s Implemented Through a High Fee Advisor . Assets will pile into low-cost ETFs and other low fee platforms as investors realize that they can’t control the returns of the financial markets, but they can control the amount of taxes and fees they pay. Dan Loeb is right . A catastrophe is coming. The end of an era is here. And the American public is going to be better off because of it. ¹ – I was generalizing, of course as there are some fine mutual funds out there, however, as a generalization I think it’s pretty fair to say that the vast majority of mutual funds are closet indexing leaches that do no one any good (except for the management companies who charge the high fees).

Sentiment Vs. Liquidity

By Jeffrey P. Snider On January 16, 2009, the FOMC gathered telephonically for an emergency conference call to discuss a deal that had been struck between Bank of America (NYSE: BAC ) and the FDIC, Federal Reserve, and U.S. Treasury Department. There was an enormous concern, quite well-founded, that had nothing been done the news of that day might have led to a place nobody wanted to go. In specific terms of BofA, that had already been the case as Merrill Lynch had been shepherded into a “cold fusion” whereby BofA’s supposedly superior resources and standing would be able to absorb all the impending trouble lurking still on ML’s balance sheet. What they were now considering was having bailed out the ML’s of the world, the large but mostly shadow/wholesale banks, might they have to go further and do the same with the true behemoths? Merrill was likely going to be a casualty of those tumultuous weeks in September 2008, starting when the GSE’s were taken into “conservatorship” and the next week when Lehman ran aground of illiquidity. The last Friday that Lehman was in business, Merrill was already in talks to be sold to BofA; an announcement of those talks was made that crucial Sunday, September 14. The merger would close on January 1, 2009, but already there was big trouble. The FOMC’s General Counsel Scott Alvarez actually led off the conference call (after being introduced, as is custom, by the Chairman’s opening) which already suggested unusual conditions. News of the financial (bailout) arrangement between the various government agencies and BofA had already leaked before the Committee had any chance to comment or voice any objections. The speed of events was necessary because of the scale of the losses announced by BofA, including greater than expected from its own operations pre-merger. The real hammer, however, was Merrill Lynch’s huge crater, which Mr. Alvarez characterized as, “in the mid-20s pretax.” It is extremely difficult to lose that much in any single quarter and only a few institutions, notably Citi (NYSE: C ), managed to do it. The government was afraid that such a massive writedown (and any cash considerations that would come of it) would shake any confidence left in BofA, especially since the merger was barely a few weeks in place and that BofA was already shaky to begin with, “one of the more thinly capitalized banking organizations, so losses for them are taken pretty seriously.” The timing of this discussion was perhaps the most meaningful, and it was not lost on Chairman Bernanke. This was not supposed to happen , not after everything that had been done especially after Lehman which was at that point already four months in the rear-view. Bernanke was simply befuddled, admitting, “But for whatever reason, our system is not working the way it should in order to address the crisis in a quick and timely way.” In other words, nothing the Fed did had any sustained, relevant effect. In the specific case of Merrill Lynch, the Chairman described to the Committee the frightening pace of the deterioration for BofA, “this whole situation was stimulated by a call from Ken Lewis just a few weeks ago to the effect that the losses that Merrill Lynch was going to report at the end of the fourth quarter had risen on the order of $10 billion or $15 billion in just a couple of weeks, in terms of what they were reporting to Bank of America.” The Fed had committed to QE in late November, voted for ZIRP on December 16, 2008, along with a further statement directed at the “markets” that the Fed was already considering expanding QE1 in agency and MBS securities, as well as adding the purchase of longer-term UST’s. How could Merrill Lynch’s losses accelerate under those promises of “money printing?” Bank of America in its earnings statement bluntly specified that ML’s losses were, “driven by severe capital market dislocations” especially late in the quarter. Under the terms of FAS 157 as they existed at the time, ML was marking asset prices based on any observable inputs no matter how bad; meaning illiquid pricing was still wreaking havoc (it must have been disastrously so, given that the loss projections increased $10 or $15 billion in only a few weeks even after ZIRP) deep within the bowels of the wholesale financial system. On the outside, markets were far more encouraged by the “money printing.” Stocks had suffered in October and then again in November, but had largely stabilized through the rest of the year as monetary promises only got larger. Junk bonds, which had been sold to an unbelievable extreme, were bid especially strong especially on the double news of December 16. In many ways, this wasn’t surprising since distressed debt is by far the best performing asset class (historically) after any crisis or crash – it is all high risk, high reward. Click to enlarge Click to enlarge The timing of the bargain hunting seemed quite rational given both the “money printing” commitment of the Fed and the fact that the economy at the time (in the mainstream view) seemed to be weathering the financial storm reasonably well. The NBER didn’t actually declare recession until December 1, 2008, and even a few weeks later when the FOMC gathered to discuss ZIRP there was (somehow) still quite a bit of optimism that it wouldn’t be as bad as some feared (denial is very powerful, especially when coupled with recency bias). For junk bonds in particular, it seemed the perfect buy signal. It all went wrong again starting January 7, 2009, ironically the day that the minutes from the December 16 FOMC meeting were released. In other words, the results of that meeting were highly encouraging (especially to junk bonds) but the discussions that led to the decisions were crushing. Maybe that should have been apparent all along, as at some point you would think even speculators would consider why the FOMC at that moment chose to “go all the way” rather than just blindly believe it would work enough for the economy to continue to escape the worst cases. What the minutes showed was that even the FOMC, long a bastion of that mainstream optimism, turned to expanding QE and ZIRP not as means to avoid those worst cases but rather with an aim to manage getting through them . In short, it was no longer “if.” They [the Committee] agreed that maintaining a low level of short-term interest rates and relying on the use of balance sheet policies and communications about monetary policy would be effective and appropriate in light of the sharp deterioration of the economic outlook and the appreciable easing of inflationary pressures. Maintaining that level of the federal funds rate implied a substantial further reduction in the target federal funds rate. Even with the additional use of nontraditional policies, the economic outlook would remain weak for a time and the downside risks to economic activity would be substantial . [emphasis added] The minutes record that some members further expressed what amounted to surrender on the economic question, as current (not future) circumstances justified further inclusion in the policy statement, “that weak economic conditions were likely to warrant exceptionally low levels of the federal funds rate for some time.” Everything sold off from there, not reaching the ultimate end of the systemic liquidation for another two months of devastation. The problem was twofold, both factors of which were in many ways self-reinforcing. Though markets had been devastated already, there was far too much unrealistic sanguinity that it just could never get that bad because it hadn’t at least since the Great Depression (recency bias). The second factor was liquidity; it never responded positively to anything the Fed did, including the very fact of the panic in the first place . As the sharp trajectory of ML’s losses even after ZIRP demonstrated, “better” is not the same as “fixed.” We can see this disparity in the 30-year swap spread: Though it had bottomed out on November 21, 2008 (the same as stocks), volatility remained extreme and the spread (and the entire swap curve, for that matter) highly compressed even though it had managed a return to positivity on December 22. Liquidations are the combination of illiquidity and selling sentiment; liquidity remained highly impaired and though the Fed seemingly gave “markets” positive sentiment on December 16 they then justified severe reversal on January 7. The result was that last leg of the panic/liquidations and the further, shocking economic damage that went with it. Liquidity is an extremely important factor, which is why I spend so much time and effort analyzing and trying to figure out its actual state (subscription required) beyond the cursory sweep of the most apparent market prices. Liquidity in systemic terms is the ability of the system to reasonably absorb any shift in sentiment toward more sustained selling, to take on an increase in margin (and collateral) calls such that they do not snowball into the avalanche. That function is all the more important in periods where great fundamental uncertainty abounds, because during those times sentiment can shift seemingly in the blink of an eye. In reality, sentimental usually shifts back and forth just that quickly, only those times never seem to matter or cause global disruption – until they meet in the perfect storm of uncertainty and illiquidity.

6 Mutual Funds To Buy As Russell 2000 Outperforms

Over the past one-month period, the major U.S. benchmarks witnessed a positive trend that helped most of them to register gains. Among these, the Russell 2000, which tracks the performance of small-cap stocks, clearly emerged as the top performer in the last one month. While the Dow, the S&P 500 and the Nasdaq gained 2.6%, 2.7% and 2.6%, respectively, in the past one month, the Russell 2000 increased 6.5% during the same period. In line with the performance of the small-cap index, the small-cap mutual funds also registered healthy returns – higher than the large- and mid-cap ones. Small-cap mutual funds posted an average return of 6% in the last one month, while the large- and mid-cap funds registered average gains of 3.3% and 4.4%, respectively. Moreover, small-cap funds have gained 2.4% in the year-to-date frame, beating their large-cap counterparts, which gained only 1.7%. Against this backdrop, investing in small-cap funds may prove to be a profitable strategy for risk lovers. Factors Boosting Small-Cap Funds Oil Rally Despite the disappointment in the Doha meeting, crude prices continued their rally, which emerged as one of the major reasons for the impressive performance by the U.S. benchmarks. Though the much-vaunted meeting of the major oil producing countries in Doha on production freeze failed to produce favorable results, its impact on crude was lesser than expected. Continuing decline in the U.S. rig count and oil production helped oil prices to post gains for the third straight week. Recently, Baker Hughes (NYSE: BHI ) reported that U.S. oil rig count posted its fifth straight weekly drop, declining from 351 to 343. Meanwhile, the U.S. Energy Information Administration (EIA) reported that domestic crude output fell by 24,000 barrels per day (bpd) to 8.953 million bpd for the week ended April 15. U.S. crude output declined for the sixth consecutive week. Encouraging Economic Data Moreover, some of the encouraging economic data had a positive impact on investor sentiment. The ISM manufacturing index increased from 49.5% in February to 51.8% in March, surpassing the consensus estimate of 50.8%. The ISM Services Index increased from 53.4% in February to 54.5% in March, witnessing its highest level in the last three months. Meanwhile, better-than-expected jobs addition, rise in wages and falling initial claims point to continued improvement in the labor market. While the U.S. economy generated 215,000 jobs in March and average hourly earnings increased 0.3% last month to $25.39, initial claims for the week ending April 16 continued to decrease to reach a record low since 1973. Separately, the Consumer Confidence Index advanced to 96.2 in March from 92.2 in February and was also higher than the consensus estimate of 94.9. Meanwhile, each of the 12 districts indicated moderate growth in economic activity, according to the Fed’s Beige Book. These positive economic data indicate that the U.S. economy is on a path of recovery. 6 Small-Cap Funds to Buy Though small-cap funds are believed to have a higher level of volatility compared to their large- and mid-cap counterparts, they show greater growth potential when markets see an uptrend and continued domestic economic improvement. This is because small-cap stocks are closely tied to the domestic economy and have less international exposure, making them safer bets than their large- and mid-cap counterparts in a sluggish global growth environment. Hence, risk-loving investors can pick these funds to gain from the current encouraging environment. In this scenario, we highlight two mutual funds from each of the three small-cap categories – growth, blend and value – that either have a Zacks Mutual Fund Rank #1 (Strong Buy) or #2 (Buy). We expect these funds to outperform their peers in the future. Remember, the goal of the Zacks Mutual Fund Rank is to guide investors to identify potential winners and losers. Unlike most of the fund-rating systems, the Zacks Mutual Fund Rank is not just focused on past performance, but also on the likely future success of the fund. Besides having impressive one-month returns, these funds also have strong three-year annualized returns. The minimum initial investment is within $5000. Also, these funds have a low expense ratio and carry no sales load. Small-Cap Growth – One-month return of 6.9% Ivy Small Cap Growth Fund (MUTF: WSCYX ) invests a large chunk of its assets in common stocks of companies having market capitalization similar to those included in the Russell 2000 Growth Index. Currently, WSCYX carries a Zacks Mutual Fund Rank #2. The product has one-month and three-year annualized returns of 8% and 9.4%, respectively. Annual expense ratio of 1.30% is lower than the category average of 1.31%. Oppenheimer Discovery Fund (MUTF: ODIYX ) primarily focuses on acquiring common stocks of domestic companies having impressive growth prospects. Currently, ODIYX carries a Zacks Mutual Fund Rank #1. The product has one-month and three-year annualized returns of 7.2% and 9%, respectively. Annual expense ratio of 0.86% is lower than the category average of 1.31%. Small-Cap Blend – One-month return of 5.6% Fidelity Stock Selector Small Cap Fund (MUTF: FDSCX ) invests the lion’s share of its assets in common stocks of companies with market capitalization within the universe of the Russell 2000 Index or the S&P SmallCap 600 Index. Currently, FDSCX carries a Zacks Mutual Fund Rank #1. The product has one-month and three-year annualized returns of 5.5% and 8.3%, respectively. Annual expense ratio of 0.76% is lower than the category average of 1.22%. USAA Small Cap Stock Fund (MUTF: USCAX ) invests most of its assets in equity securities of domestic small-cap companies. Currently, USCAX carries a Zacks Mutual Fund Rank #2. The product has one-month and three-year annualized returns of 5.9% and 7.8%, respectively. Annual expense ratio of 1.15% is lower than the category average of 1.22%. Small-Cap Value – One-month return of 5.5% American Century Small Cap Value Fund (MUTF: ASVIX ) invests heavily in securities of companies having market capitalization identical to those listed in the S&P Small Cap 600 Index or the Russell 2000 Index. Currently, ASVIX carries a Zacks Mutual Fund Rank #2. The product has one-month and three-year annualized returns of 7.4% and 8.4%, respectively. Annual expense ratio of 1.24% is lower than the category average of 1.31%. CornerCap Small-Cap Value Fund (MUTF: CSCVX ) invests a major portion of its assets in equity securities of small-cap companies located in the U.S. Currently, CSCVX carries a Zacks Mutual Fund Rank #1. The product has one-month and three-year annualized returns of 7% and 13%, respectively. Annual expense ratio of 1.30% is lower than the category average of 1.31%. Original Post