© 2003 Tom Madell, Ph.D.

Apr 2, 2003

Newsletter #75

Mutual Fund Trends/Research Newsletter

http://funds-newsletter.com

Currently The Top Listed Google Mutual Funds Newsletter!

Are You Like the Typical Investor?: Sticking to Your Beliefs No Matter What

The majority of fund investors see themselves as "in the know" and sensible investors. These people often take a few quick glances at this web site and then largely disregard it. Here are some of their reasons:

  • "Investment advice, especially lately has been no better than a flip of a coin, and in many cases, a lot worse."
  • "I'm sticking with my stock funds."
  • "Just holding index funds is the only way to go."
  • "The whole investment scene is so hard to make sense of that, therefore, the best strategy is to do nothing."

Not a good state of affairs for someone such as me who is attempting to reach some of these folks thru an investment newsletter! However, I will continue to monitor the investment world and to personally use the investment strategies reported here. Why? Because the long-term results reported on this site have enabled me to stay well ahead of the typical investor. And ahead of the typical mainstream mutual funds columnists read by hundreds of thousands in publications like the Wall Street Journal and cbs.marketwatch.com, especially over the last 3 years.

The view of the typical funds investor, which often boils down to nothing less than "no amount of effort or research can make much difference", will likely cause them to continue to keep most of their money on board a ship possibly headed toward an iceberg. While the average investor holding funds may continue to hold on to his past dreams, we have at least told some of our friends that there are some other ships that are sailing in safer waters.

Regardless of data, it is nearly impossible "to prove anything" and the vast majority will remain skeptical of any newsletter. Thus, in the world of investing, old attitudes die hard. But data is data, and in this case, it has directly translated to more money in the bank. My newsletter may never achieve the visibility that it perhaps deserves, but I expect to continue to keep ahead of the majority by following what the data can tell and which has shown to be a superior performance strategy since this publication began in May, 1999.

I remember reading an article several years ago that said in effect:

In spite of evidence that buy and hold was the only "sensible" way to invest, newsletter writers had to constantly tell you to change your mix, or else they would quickly run out of what to say.

Although buy and hold may be the only sensible way for most investors to deal with the seemingly random and unpredictable movements of investments these days, what the above falsely suggests is that there is virtually no advice of any true value. Perhaps the one exception might be advice as to how to pick your investments and allocations wisely in the first place. Once this is done, there is nothing else to be done, so these people tell us. And besides, most people simply don't have the time to read up on, and if suggested by evidence, to change their investments. This last point is sadly the only one of these that is all too true.

I assume though that if you are reading this article, you must have come to this web site with at least some thought that some information might be of help.

I too believe that buy and hold makes sense for a certain percentage of your portfolio, perhaps around 60 to 70%. But unless you are truly committed and able to leave your investments untouched for 10 or even 20 years (according to a New York Times article, the average investor holds a fund less than four years ), you may want to look at the real evidence I present that suggests that by attending to ongoing trends, you have a good chance of outperforming other investors within your overall portfolio.

The article in the right hand column of this issue demonstrates that although it may be very difficult to make money in this kind of investment environment, there have been, and continue to be, some actions that can help protect and grow your assets.

Sincerely,

Tom Madell, PhD,
Publisher

Reducing Losses/Increasing Gains: Getting Results When You Decide to Make Fund Exchanges

Contents:

-Main Articles to left and below
-Current Allocations
-Model Portfolio Data

Most investors eventually take advantage of one of the most useful features offered by funds: the ability to conveniently and quickly make exchanges. But an exchange should not be used solely for the purpose of getting out of a bad fund. Rather, it also offers you the chance to increase your performance by raising your allocation to a fund that may have better future prospects.

The strategy I recommend is to first identify undervalued categories of funds that are nevertheless showing definite signs of sustained positive performance. How to do this is explained in detail in a previously posted article. You then alter some of your existing investments away from investments showing poorer trends to take advantage of these identified categories, which have better chances for future gains.

During April thru June of 2002, as reported in my Newsletters during that period, I used the above strategy to identify at risk funds to reduce positions in, and conversely, those that showed better potential. In a Sept., 2002 article published elsewhere, I showed the short-term positive results of exchanging from poorly trending funds into what appeared to me to be relatively more promising funds. Now 6 months later, the beneficial results of these exchanges, nearly 12 months after making them, are even more dramatic (see the table below).

A total of 9 fund exchanges were made. The net outcome of each exchange is measured in terms of the difference between how I would have done if I had not made the exchange vs. what return I made in the new fund. As in the previously mentioned article, the results of each exchange has been positive, highly so in some cases. Specifically, the average net gain as a result of making the exchanges is currently +15.6%.

Although almost no one investing in any type of stock funds has been able to escape the severe negative returns over the last year, the direct application of this strategy resulted in losses that were considerably reduced, as well as outright gains instead of severe losses. And although no one can guarantee future results, the outperformance of future exchanges when using the above strategy should continue to prevail whether stocks as a whole continue to struggle or soon return to the positive side.

The table below shows the full results referred to above (data as of 3-31-03):

Exchanges Between Funds and Resulting Outperformance

Fund and
date exchanged

Performance
following
sale

Fund purchased

Performance
following
purchase

Improved
performance
due to exchange

CREF Global
Retirement Annuity
4/23/02

-23.3%

CREF Inflation-
Linked Bond
Retirement Annuity

+14.8%

+38.1%

Vanguard Intl
Growth 4/23/02

-25.8

Vanguard High
Yield Bond

+4.1

+29.9

CREF Global
Retirement Annuity
4/23/02

-23.3

TIAA (Fixed
Retirement Annuity)

+4.7 (est.)

+28.0

Fidelity Low
Price Stock 6/6/02

-18.0

Fidelity
Money Market

+1.1 (est)

+19.1

Vanguard Growth
and Income
4/30/02

-20.0

Vanguard Energy

-9.5

+10.5

Janus Aspen
WW Growth
4/12/02
-28.7

Fidelity Spartan
Extended Mkt

-22.3

+6.4

Vanguard Europe
4/04/02

-25.2

Vanguard Emerging
Markets

-21.3

+3.9

Vanguard
International Growth
4/23/02

-25.8

Vanguard Emerging
Markets

-23.5

+2.3

Vanguard Inst.
Index Plus 4/5/02

-23.0

Fidelity Spartan
Extended Mkt

-20.9

+2.1

Given our past success at using this strategy, what does the strategy suggest might be useful moves to make at this time? We have been moving some money from high quality bond funds into high yield corporate bond funds. We also continue to like certain natural resources funds, such as Vanguard Energy, which you might establish a modest position in by exchange, for example, from any fund that has some emerging markets exposure. We are a little leery of investments in emerging markets right now given the likelihood that these stocks may suffer larger percentage losses than less risky funds if events in the world remain subject to negative geopolitical and economic circumstances. (See our model portfolio below.)

Please note in general that my Newsletters often suggest highly specific fund advice. The advice is based on research as well as strategies that I myself employ in managing my own personal investments. I currently make no profit as a result of sharing these strategies, although I may begin to charge for my newsletter and ask to receive payment for my web columns at some time in the future. Right now, these continue to be provided solely as a public service to help educate investors. While my Newsletter strategies have worked well in the past, there is obviously no guarantee that any strategy can always lead to outperformance. Therefore, it is important that you do your own research before acting on anyone's suggestions and that you take full responsibility for your own success or failure as an investor.

Current Allocations

For Most Investors

Class

Percent of
Portfolio

Stocks

45%

Bonds

50%

Cash

5%

For More Conservative
Investors

Class

Percent of
Portfolio

Stocks

30%

Bonds

45%

Cash

25%

Page 2

Jan 2003


Free web site statistics

New Full Model Portfolio - 2nd Qtr 2003

Our full and condensed model portfolios, and our percentage allocations, remain unchanged from the first quarter except for removing our position in emerging markets and replacing it with an natural resources (energy) fund.

Stocks

Fund/

Morningstar Style

Allocation

1st Qtr
Total Return

1 Yr &
5 Yr Annual.
Total Return

Janus Core Equity

Large Blend

20%

-2.9%

-22.6% (1 yr)
+2.2% (5 yr)

Vanguard Emerging Markets Index

Emerging Markets

0

-5.6

-20.9
-5.3

Vanguard Energy

Nataural Resources

20

+1.0

-10.3
+4.1

Fidelity Low Priced Stock

Small Blend

20

-6.0

-17.6
+5.1

Tweedy Browne Global
Value

Foreign (Mid Cap Blend) 15

-8.7

-24.9
+0.6

Fidelity Growth & Inc. Large Blend 15

-2.3

-20.6
-2.2

Vanguard Equity Income

Large Value

10

-5.7

-23.3
-1.4

Bonds

Fund

Interest Rate
Sensitivity

Allocation

1st Qtr
Total Return

1 Yr &
5 Yr Annual.
Total Return

Vanguard High Yield Medium 30%

+4.3%

+4.7%(1 yr)
+2.6% (5 yr)

American Century International Bond Medium 25

+4.3

+37.0
+6.1

PIMCO Total Return Instit. Medium 25

+2.1

+11.8
+8.3

Vanguard Inflation Protected Securities

Medium

20

+2.6

+17.9
NA

Condensed Model Portfolio

Note: This portfolio has less funds and should approximate the performance of the full model.

Stocks

Fund

Morningstar Style

Allocation

1st Qtr
Total Return

1 Yr &
5 Yr Annual.
Total Return

Vanguard Tot. Stk. Mkt. Idx.

Large Blend

40%

-3.1%

-24.2%(1 yr)
-3.9% (5 yr)

Vanguard International Growth

Foreign (Large Blend)

35

-7.6

-24.4
-5.9

Fidelity Low Priced Stock

Small Blend

25

-6.0

-17.6
+5.1

Bonds

Fund

Interest Rate
Sensitivity

Allocation

1st Qtr
Total Return

1 Yr &
5 Yr Annual.
Total Return

Janus Flexible Income Medium 50%

+2.1%

+12.5% (1 yr)
+6.0% (5 yr)

Vanguard High Yield Medium 50

+4.3

+4.7
+2.6

Note: Above returns shown thru 3-31-03


Model Portfolio Performance

Our stock funds lost -5.9% for the qtr; our bond funds gained +3.0%. All told, our overall portfolio was in a statistical "dead heat" with the Vanguard 500 Index which lost -3.2%. (These results include the first 3 days of 2003 when we were still invested in our 4th Qtr model portfolio.)