Our office will be closed on Thursday, December 24th at 12:00 PM through Friday, December 25th in celebration of the holiday. Have a very merry Christmas!
12 Financial Resolutions for 2021
Start the new year right by reviewing and revamping your financial plan.
Instead of hauling out those familiar New Year’s resolutions about eating less and exercising more, how about focusing on your financial well-being? Here are 12 resolutions that can help ensure your financial confidence in retirement.
1. Get your balance sheet in order
You can’t expect to reach a goal without knowing where you’re starting from. Using December 31 as the effective date, update your personal balance sheet (assets versus liabilities, broadly speaking). If you’re retired, make note of the income you receive from Social Security, pensions, retirement plan assets or other sources. Everything proceeds from this first step, so take the time to bring these numbers up to date.
2. Review your budget and spending
How closely did last year’s spending match what you’d planned? Were unexpected increases one-time items or ongoing costs? Where can you trim expenses?
Although some budget items are fixed, a sharp pencil can produce significant savings on other costs. Start with what you realistically expect to have as income, then assign those dollars to your various expense categories, while also maintaining flexibility to account for things like healthcare that can’t be pinned down precisely.
3. Review your account titling
Account titling often occurs haphazardly, which can create problems down the line. If one partner dies and an account is titled only in their name, those assets can’t be readily accessed by the survivor. The solution may be creating joint accounts, but it’s not always that simple. Titling has implications across a range of estate planning issues, as well as other situations such as Medicaid eligibility and borrowing power, too. Review your account titling and discuss with your team of professionals.
4. Designate and update your beneficiaries
If you don’t correctly document your beneficiary designations, who gets what may be determined by federal or state law, or by the default plan document used in your retirement accounts. When did you last update your designations? Have life changes (divorce, remarriage, births, deaths, state of residence) occurred since then?
Update your beneficiary listings on wills, life insurance, annuities, IRAs, 401(k)s, qualified plans and anything else that’d affect your heirs. If you’ve named a trust, have any relevant tax laws changed? Have you provided for the possibility that your primary beneficiary may die before you? Does your plan address the simultaneous death of you and your spouse? An estate attorney can help walk you through these various scenarios.
5. Evaluate your cash holdings
A certain amount of assets should be set aside in cash accounts that can be readily accessed – talk with your advisor about whether your current allocation strikes the right balance. Note that the cash portions of your brokerage and retirement accounts serve a different purpose and shouldn’t be counted as emergency reserves.
6. Revisit your asset allocation
Appreciation in one asset class or underperformance in another can leave your portfolio with a different allocation than what you originally intended. Revisit your current and ideal asset allocation at least annually and rebalance as needed (consider rebalancing with new contributions to help avoid capital gains taxes).
Consider, too, whether you’re comfortable with your portfolio’s current level of risk. Risk tolerance isn’t static – it changes based on your net worth, age, income needs, financial goals and other considerations.
7. Evaluate your retirement income sources
Most retirees have several income sources, such as Social Security, pensions, retirement portfolios, rental properties, notes receivable, inheritances, etc. Think about how secure each source is. Can you count on that inheritance? Would rental property vacancies interrupt your cash flow? Are the notes receivable backed by collateral? If too much of your retirement income is from less-than-solid sources, it may be time to reposition your assets.
8. Review your Social Security statement
If you’re not yet retired, go online and establish an account with the Social Security Administration – the SSA doesn’t mail out individual statements of accrued benefits anymore. Review your statement, and be sure all your earnings over the years have been recorded. Use the SSA’s online calculator to compute your benefits at various retirement ages. If appropriate, revisit your spousal plan and revise as needed.
9. Review the tax efficiency of your charitable giving
Think strategically about your contributions – for example, consider whether or not it’d make sense to donate low-basis stocks in lieu of cash, or learn about establishing a donor advised fund to take an upfront deduction for contributions made over the next several years. Give, but do so with an eye toward reducing your tax liability.
10. Check whether your retirement plan is on track
What changes are needed given your current lifestyle and the market environment? Don’t fixate solely on your retirement assets’ value – instead, drill down into what types of assets you hold, what your expected cash flow will be, what your contingency plans are, what rate of return you’re assuming, what inflation rate you’re assuming and how long you’re planning for. Retirement plans have many moving parts that must be monitored on an ongoing basis.
11. Make the indicated changes
You should now have a good idea of your cash flow situation, what your retirement income picture looks like and where other challenges lie. Do you need to adjust your IRA contributions, other account contributions or tax withholding? Are you taking full advantage of your employer’s retirement plan options, particularly any contribution match? Go after any problems areas – or opportunities – systematically and promptly.
12. Check in with your advisor
Your advisor can help offer specialized tools, impartiality and experience earned by dealing with many market cycles and client situations. Communicate openly about what’s happening in your life today and what may happen in the future. Advisors can’t help you manage what they don’t know, so err on the side of over-communicating. Establish a regular meeting schedule to review your portfolio and retirement plans.
Rebalancing a non-retirement account could be a taxable event that may increase your tax liability. Investing involves risk and you may incur a profit or loss regardless of strategy selected, including diversification and asset allocation
Phone System Error (Updated)
December 17, 2020
The phone connectivity problem has been resolved as of this morning, we are fully operational and thank you again for you patience!
December 16, 2020
Our office is currently experiencing technical difficulties with the phone connection. We are doing everything we can at this time to get it up and running smoothly again. We apologize for any inconvenience this may cause, and thank you for your patience while we handle the situation. Please feel free to email Haley.Hull@RaymondJames.com with any questions or urgent requests and we will do our best to respond in a timely manner. To contact Raymond James branch services directly call 800.248.8863. We are hoping this will be resolved by tomorrow morning and will keep you updated.
Thank you.
Stimulus, Bailouts, and the Fed
December 14, 2020
First Trust Monday Morning Outlook
Brian S. Wesbury - Chief Economist
Back room deals in Washington, DC always die and come back to life, over and over, again. And, even though a “COVID shutdown rescue package” seems like a no brainer, it’s been caught up in politics for months.
Democrats have been holding out for a huge, potentially $3 trillion dollar bill, while Republicans are looking at debt in the years ahead and suggesting that too much spending would create economic problems down the road. Nonetheless, a deal somewhere between $900 billion and $1 trillion appears likely to pass before year-end.
The details are still up in the air, but we’re confident anything that gets passed will include (among various other provisions) enlarged and extended unemployment benefits, more help for small businesses, some sort of liability shield to protect businesses from being held liable for COVID-19 infections, as well as some aid for state and local governments.
Although many in the GOP don’t like the idea of the federal government bailing out the states, we think some temporary extra federal funding could be justified under these extraordinary circumstances given that the light is at the end of the tunnel; a pandemic-related recession is not a normal recession. Small businesses didn’t expect to be fighting a pandemic this year and neither did state and local governments.
However, states are all different. Some came into 2020 with surpluses (rainy day funds), while others, like Illinois, were in financial trouble. It’s important that the federal government makes sure any funds going to states are designed to offset fiscal damage caused by COVID and the reaction to it, not to fix fiscal problems the states had prior to COVID.
One solution would be to distribute federal money to states based on their respective population sizes. This would compensate for lost revenue from shutdowns and avoid bailing out underfunded pension funds. Our best guess is that the current state bailout number being thrown around – about $160 billion – would comfortably compensate states for lost revenue from COVID shutdowns.
We also can’t help but notice that some big companies are pulling up stakes and moving their tents from California to Texas, while others are either moving from New York City to Florida or seriously considering it. These are big, headline grabbing moves, but probably just the tip of the iceberg. What we hope is that this is the last big spending bill of the COVID crisis. In 2021, the vaccine itself is the best stimulus we could ask for. As frontline workers get vaccinated, and vaccines for those who are most at risk are just weeks or months away, states should open up their economies relatively quickly.
Meanwhile, the Federal Reserve meets this week, and will issue a policy statement on Wednesday. Fed Chairman, Jerome Powell will hold the normal post-meeting press conference shortly thereafter. We expect the statement to be roughly the same as the last one in early November, which itself was very close to the prior statement in September. The Fed remains in stimulus mode.
We’ll be closely watching for changes to the Fed’s economic projections or the “dot plots,” which show where the Fed thinks it will be setting short-term interest rates for the next few years. In particular, when does the Fed think we’ll get back to a roughly 4.0% unemployment rate, or below? Does the Fed still think we won’t see 2.0% inflation until 2023? Do only four policymakers, like back in September, see the first rate hike happening before the end of 2023?
Many public policy questions will be answered this week. But keep in mind that these decisions are not what really drives the economy. Policy matters, but it’s entrepreneurs that ultimately drive economic growth.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
12-15 / 7:30 pm Empire State Mfg Index – Dec 6.5 9.1 6.3
7:30 am Import Prices – Nov +0.3% +0.3% -0.1%
7:30 am Export Prices – Nov +0.2% +0.2% +0.2%
8:15 am Industrial Production – Nov +0.3% +0.1% +1.1%
8:15 am Capacity Utilization – Nov 73.0% 72.8% 72.8%
12-16 / 7:30 am Retail Sales – Nov -0.3% -0.3% +0.3%
7:30 am Retail Sales Ex-Auto – Nov +0.1% +0.2% +0.2%
9:00 am Business Inventories – Oct +0.6% +0.7% +0.7%
12-17 / 7:30 am Initial Claims – Dec 12 815K 853K 853K
7:30 am Housing Starts - Nov 1.535 Mil 1.535 Mil 1.530 Mil
7:30 am Philly Fed Survey – Dec 20.0 26.7 26.3
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected.
2021: Robust Growth, Higher Inflation
Monday Morning Outlook
Brian S. Wesbury - Chief Economist
December 7, 2020
The COVID-19 Recession is the weirdest we’ve ever had. There is no way anyone could have forecast it. It did not happen because the Fed was too tight. It did not happen because of a trade war. It was self-inflicted, caused by COVID shutdowns.
And, in spite of a V-shaped bounce off the bottom – 33.1% annualized real growth in Q3, and likely 5%+ growth in Q4 – the economy is still smaller than it was a year ago.
Most big companies have not suffered financial damage, and clearly big tech has allowed much of the economy to operate virtually, but damage to small service industry businesses has been dramatic. What this means is that, while the economy will continue to heal, it will take years to fully recover.
The pace of recovery will depend heavily on renewed shutdowns and the speed of a vaccine rollout. We watch high frequency data, including TSA checkpoint flow-through, OpenTable reservations, rail traffic, and gasoline usage. These weekly, or daily measures turned up in May, signaling a second half recovery. Now, they have leveled out, and in some cases slightly weakened. “Green Shoots” are temporarily going dormant due to large state closures.
This may mean some data weakness in the first quarter of 2021. But don’t let that scare you, we do not see a double dip. In fact, we anticipate solid 3.0% real growth for 2021. Three percent growth might not sound great, but it would be the first time growth has reached 3% for any calendar year since 2005.
Nonetheless, any return to complete normalcy (getting the unemployment rate back down to under 4%) will take years. Because of reopening, the first waves of jobs came back fast. From the April peak of 14.7%, unemployment has fallen to 6.7% in November.
And even with our robust forecast of 6.3 million new jobs in 2021, the unemployment rate will still only fall to about 5% by the end of next year. At that rate, total jobs will still be below where they were in February 2020, before shutdowns began.
Part of this recovery has been artificial. Demand has remained robust because the Federal Reserve is monetizing stimulus the government has provided. That stimulus simply borrowed from the future to hold up spending now. This is already leading to imbalances in demand versus supply and, combined with 25% year-over-year growth in the M2, has pushed consumer and producer price indices higher. Too much money chasing too few goods (and services) is a natural recipe for higher inflation.
In terms of interest rates, the Fed is dead set on leaving short-term rates near zero for all of 2021, and we doubt inflation rising modestly above its 2.0% target will change its mind. After all, the Fed has already said it wants to see inflation exceed that target for a prolonged period before it raises rates. Higher inflation might get the Fed to start thinking about ending quantitative easing, but lifting short-term rates is an issue for 2022 and beyond, not 2021.
Long-term interest rates, however, should drift higher as investors get more confident about the economic recovery and see higher inflation. Expect the 10-year yield to finish about 1.40% next year. Yields could move even higher, but the low level of short-term rates, the Fed’s commitment to keep short rates low, and investor skepticism about how long higher inflation will last should keep long-term rates from soaring.
One segment of the economy deserves special attention, and that’s home building. The US was building too few homes for the past decade before COVID-19, and now the demand for residential real estate is even higher. Expect the surge in construction - and prices for single-family homes - to continue, as people seek more living space and life in places that provide adequate police protection.
In the next several weeks, news headlines may be filled with dire stories. But there is light at the end of the COVID-19 tunnel, and 2021 is likely to be a much better year than 2020.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
12-7 / 2:00 pm Consumer Credit– Oct $16.1 Bil $16.0 Bil $16.2 Bil
12-8 / 7:30 am Q3 Non-Farm Productivity +4.9% +5.3% +4.9%
7:30 am Q3 Unit Labor Costs -8.9% -7.8% -8.9%
12-10 / 7:30 am Initial Claims – Dec 5 725K 693K 712K
7:30 am CPI – Nov +0.1% +0.2% 0.0%
7:30 am “Core” CPI – Nov +0.1% +0.2% 0.0%
12-11 / 7:30 am PPI – Nov +0.1% +0.1% +0.3%
7:30 am “Core” PPI – Nov +0.2% +0.2% +0.1%
9:00 am U. Mich Consumer Sentiment- Dec 76.0 78.0 76.9
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected.
Make Your Retirement Contributions Count
December 3, 2020
Dear Friends and Clients,
For the 2021 tax year, individual investors can contribute up to $6,000 to either a traditional or Roth IRA. If you’re age 50 or older, you can contribute an extra $1,000. I wanted to remind you so you can take full advantage of your ability to save toward retirement. Contributing as much as you can as early as possible allows those assets more time to potentially grow and compound. Keep in mind that contributions generally must be made before you file your tax return in April.
You may also contribute up to $19,500 to applicable 401(k), 403(b) and 457 plans, SAR-SEP plans and the federal government’s Thrift Savings Plan. The catch-up contribution limit for individuals age 50 or older remained $6,500. Employee contributions to qualified plans generally must be made by December 31.
Review the 2021 Retirement Plan Limits worksheet below for more details.
If you have any questions about these limits or your retirement planning in general, feel free to contact us.
Sincerely,
Matt Goodrich, Financial Advisor Larry Goodrich, CFP ®
President, Goodrich & Associates, LLC Vice President, Goodrich & Associates, LLC
Branch Manager, RJFS Co-Branch Manager, RJFS
Raymond James financial advisors do not render advice on tax matters. Please consult a qualified professional regarding tax matters.
November Market Review
December 1, 2020
Dear Friends and Clients,
As we know, there is nothing inherently unique about big number milestones, but nonetheless, seeing the Dow Jones Industrial Average close over 30,000 for the first time certainly feels special – especially considering the year we’ve experienced. The difficulties facing the economy and the markets shouldn’t be understated, but through November the promise of normal was seemingly a powerful counter.
As COVID-19 cases continued to reach new highs, investors were bolstered by positive developments, the greatest of which was encouraging news about three COVID-19 vaccines that were shown to be highly effective through trials. Corporate earnings for the third quarter were also stronger than expected, providing a greater than expected boost, and the likelihood of a split federal government may have eased fears about broad changes to taxation.
As a result – in addition to the Dow’s new high – the S&P 500 posted its strongest month since April and the Russell 2000, which has tracked smaller companies’ stocks since 1984, saw its largest increase on record.
“While the vaccine will likely not be widely available to the general public until the first quarter of 2021, at the earliest, the positive efficacy results through the vaccine trials led some of the most virus-sensitive companies’ stocks to outperform,” Raymond James Chief Investment Officer Larry Adam said.
Looking more broadly at the economy, indicators continue to show signs of improvement, but at a more moderate pace compared to summer – surging infection rates through the holiday season pose a downside risk to the economy into early 2021.
“A number of fiscal policy initiatives are (also) set to expire at year-end and the prospects for further support from Congress remain uncertain,” Chief Economist Scott Brown said. “However, the economy is expected to pick up significantly as vaccines are distributed next year.”
Before we dive into D.C. and beyond, let’s look at where the domestic equity markets are as we approach the end of the year:
Now to the details:
Georgia on everybody’s mind
While there was hope that the election would calm political tempers and make it easier for the House, Senate and administration to reach a fiscal stimulus compromise, the continuing contests to decide the leadership of the Senate may have thrown those wishes to the wind.
“The back and forth on partisan positions for the next fiscal bill continues, and we view the politics of the Georgia runoff races as playing a significant role,” Washington Policy Analyst Ed Mills said. “We expect positions to become clearer once Congress returns from the Thanksgiving recess.”
Comments from Ron Klain, presumptive President-elect Joe Biden’s chief of staff, suggest Biden is supporting a compromise package during the lame duck period, possibly in line with the $1.5 trillion package proposed by the House’s bipartisan Problem Solvers Caucus, but significant hurdles remain.
It’s not just equities
Hopes for the eventual return to normalcy pushed credit spreads, both high yield and investment grade, to new COVID-19-era lows and pushed energy prices to the highest level since March. We also saw the biggest bond yield swings since the start of the pandemic.
Demand for corporate debt continues to be strong, and both municipal and corporate bonds outperformed Treasuries through the month.
Oil prices, however, “will likely remain choppy over the next three to four months,” Energy Analyst Pavel Molchanov said. “Although current lockdown restrictions across Europe and a dozen U.S. states are milder than the original ones in March and April, the amount of population affected is so large that impact on transportation and traffic is still unavoidable.”
The bottom line
The markets are showing a sense of optimism for the year ahead, as evidenced by some of the most sensitive sectors’ outcomes through November.
“We saw energy stocks trading up 39%, financials up 20% and industrials up 18% in just 17 days,” said Joey Madere, senior portfolio strategist, Equity Portfolio & Technical Strategy. “While we are positive over the next six to 12 months, we would not be surprised for the road to be bumpy in the coming weeks and months.”
It has become a familiar story, but we’ll be sure to continue to see it through together.
We hope you had a safe and fulfilling Thanksgiving and that this finds you well. Thank you for your trust in us. As usual, if you have any questions or would like to discuss any aspect of your investments or financial plan, please be in touch.
Sincerely,
Matt Goodrich, Financial Advisor Larry Goodrich, CFP ®
President, Goodrich & Associates, LLC Vice President, Goodrich & Associates, LLC
Branch Manager, RJFS Co-Branch Manager, RJFS
Investing involves risk, and investors may incur a profit or a loss. All expressions of opinion reflect the judgment of the authors and are subject to change. There is no assurance the trends mentioned will continue or that the forecasts discussed will be realized. Past performance may not be indicative of future results. Economic and market conditions are subject to change. The Dow Jones Industrial Average is an unmanaged index of 30 widely held stocks. The NASDAQ Composite Index is an unmanaged index of all common stocks listed on the NASDAQ National Stock Market. The S&P 500 is an unmanaged index of 500 widely held stocks. The MSCI EAFE (Europe, Australia, Far East) index is an unmanaged index that is generally considered representative of the international stock market. The Russell 2000 is an unmanaged index of small cap securities. The Bloomberg Barclays US Aggregate Bond Index is a broad-based flagship benchmark that measures the investment grade, U.S. dollar-denominated, fixed-rate taxable bond market. An investment cannot be made in these indexes. Investing in commodities is generally considered speculative because of the significant potential for investment loss. Their markets are likely to be volatile and there may be sharp price fluctuations even during periods when prices overall are rising. Raymond James does not provide tax services. Please discuss these matters with the appropriate professional.
Material prepared by Raymond James for use by its advisors.
S&P 4,200 - Dow 35,000
Monday Morning Outlook
Brian S. Wesbury, Chief Economist
Robert Stein, Deputy Chief Economist
Date: 12/1/2020
In December 2019, we made a year-end 2020 forecast of 3,650 for the S&P 500. With the index closing Friday at 3,638, that looks like a very good call.
But we’d be fibbing if we didn’t admit to getting whipsawed by COVID-19. In the spring the S&P 500 fell as low as 2,237, pricing in a massive drop in corporate profits. We remained bullish but revised our year-end forecast down to 3,100. Then, in August, after analyzing data on COVID-19 and assessing the actual impact of shutdowns on growth and profits, we lifted our year-end S&P target for 2020 back to 3,650.
For next year, the fundamentals continue to suggest a bullish outlook. Our year-end 2021 call for the S&P 500 is 4,200 (up about 15% from last Friday), and we expect the Dow Jones Industrial Average to rise to 35,000.
We rely on our Capitalized Profits Model. The model takes the government’s measure of profits from the GDP reports, discounted by the 10-year US Treasury note yield, to calculate fair value. And, last week, corporate profits for the third quarter were reported at a record high, up 3.3% from a year ago.
The question is: what discount rate should we use? If we use the current 10-year Treasury yield of 0.84%, our model suggests the S&P 500 is grossly undervalued. But this is because the Federal Reserve is holding the entire interest rate structure at artificially low levels. Using these rates distorts valuations.
Using third quarter profits, it would take a 10-year yield of 2.8% for our model to show that the stock market is currently trading at fair value. And that assumes no further growth in profits.
Right now, in spite of Fed pressure to hold rates down, we expect the 10-year note to finish 2021 in the range of 1.25% to 1.5%. Nonetheless, we have chosen to use a more conservative 2% discount rate in our Capitalized Profits model. Using third quarter 2020 profits, that creates a fair value estimate for the S&P 500 of 5,150. And this does not take into account the highly likely boost to profits in the year ahead. As a result, we believe our year-end 2021 forecast of 4,200 is easily within reach.
Obviously, the year ahead is not without risk. Perhaps the various vaccines will be rolled-out more slowly than anticipated. Perhaps, the Georgia Senate elections in early January result in a House, Senate, and White House that all agree to more aggressive tax hikes than markets currently anticipate. Perhaps, perhaps, perhaps.
More likely, we anticipate the vaccines will work roughly as advertised, and businesses will continue to improve in handling the obstacles posed by the illness and government shutdowns alike. Meanwhile, the Senate should remain a check on aggressive tax hikes, and the federal courts may curb excesses in regulation. New entitlements? Highly unlikely. In addition, it looks like trade conflicts with other countries will ease.
We have been bullish since 2009, not because we are perma-bulls, as our detractors like to say, but because the fundamentals say we should be. Profits and interest rates drive stocks, we let these factors determine our outlook. Not politics, not fear, not greed…just math.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
11-30 / 8:45 am Chicago PMI – Nov 59.0 62.4 58.2 61.1
12-1 / 9:00 am ISM Index – Nov 58.0 57.9 59.3
9:00 am Construction Spending – Oct +0.8% +1.3% +0.3%
afternoon Total Car/Truck Sales – Nov 16.1 Mil 15.9 Mil 16.2 Mil
afternoon Domestic Car/Truck Sales – Nov 12.4 Mil 12.4 Mil 12.7 Mil
12-3 / 7:30 am Initial Claims – Nov 30 765K 765K 778K
9:00 am ISM Non Mfg Index – Nov 56.0 56.0 56.6
12-4 / 7:30 am Non-Farm Payrolls – Nov 500K 490K 638K
7:30 am Private Payrolls – Nov 608K 590K 906K
7:30 am Manufacturing Payrolls – Nov 46K 47K 38K
7:30 am Unemployment Rate – Nov 6.8% 6.8% 6.9%
7:30 am Average Hourly Earnings – Nov +0.1% +0.1% +0.1%
7:30 am Average Weekly Hours – Nov 34.8 34.8 34.8
7:30 am Int’l Trade Balance – Oct -$64.8 Bil -$64.8 Bil -$63.9 Bil
9:00 am Factory Orders – Oct +0.8% +0.6% +1.1%
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected. The S&P 500 is an unmanaged index of 500 widely held stocks that is generally considered representative of the U.S. stock market. The Dow Jones Industrial Average (DJIA), commonly known as “The Dow” is an index representing 30 stock of companies maintained and reviewed by the editors of the Wall Street Journal. Keep in mind that individuals cannot invest directly in any index, and index performance does not include transaction costs or other fees, which will affect actual investment performance.
What Does Dow 30,000 Really Mean?
Markets and Investing
November 25, 2020
Raymond James CIO Larry Adam puts this new market milestone in perspective.
After recovering from its COVID-driven decline just last week, the Dow Jones Industrial Average has another record to celebrate. On Tuesday, November 24, the index reached a major milestone as it closed above the 30,000 level for the first time on record – its ninth new record high this year.
If the month had ended Tuesday (month-to-date: +13.4%), it would be the best month for the Dow since January 1987 (+13.8%) and the best November since 1928. A wonderful way to celebrate the Thanksgiving holiday!
But what does it mean?
The short answer is that the Dow is now up over 5% year-to-date on a price return basis, and it has rallied more than 60% from its March 23 lows to fully recover its losses and once again hit record highs.
While these thousand-point milestones are always hyped in the news headlines, they should be put into perspective. It’s important to recognize that it has been more than 300 days since the last thousand-point milestone – more than double the average duration for the previous 10 thousand-point increments – and the annualized return of 4.1% is the fifth lowest of any thousand-point milestone on record. Incidentally, this thousand-point increment only represented a 3.4% increase as each milestone going forward gets increasingly smaller.
The slowness of this milestone momentum is unsurprising given the historic levels of volatility experienced since the Dow reached the 29,000 level in mid-January, which was just prior to the COVID-driven drawdown. While the current COVID surge remains a key risk, a multitude of effective vaccine candidates and decreased levels of political uncertainty have overshadowed it. Nevertheless, the economic recovery from the COVID-induced recession has led to vast levels of dispersion beneath the Dow’s surface.
In accordance with our expectation for a K-shaped economic recovery, constituents in the technology and home improvement areas have contributed heavily to this last thousand-point gain. The Dow is up about 4% since the last milestone, and while leaders such as Apple (+49%), Walmart (+31%) and Home Depot (+22%) have lifted the index, constituents in the industrial and energy sectors such as Chevron (-18%) and Boeing (-34%) have reduced its performance.
Is the Dow expensive, and should we adjust portfolios?
Given the recent strong rally in the equity market, we have grown more cautious in the near term as valuations are the most expensive they’ve been since at least 2001. However, despite the potential for near-term volatility, our positive outlook for equities over the longer term is supported by fundamental factors, including:
A forecasted bounce back in economic activity in 2021
Expectations for a substantial earnings rebound in 2021
An accommodative Federal Reserve, and
Heightened levels of cash still on the sidelines.
With our optimistic long-term outlook, we remind investors that timing the market is a difficult task, and psychological levels such as these shouldn’t be used to make portfolio changes.
All expressions of opinion are those of Investment Strategy and not those of Raymond James & Associates, Inc. and are subject to change. Information contained in this report was received from sources believed to be reliable, but accuracy is not guaranteed. Past performance is not indicative of future results. No investment strategy can guarantee success. There is no assurance any of the trends mentioned will continue or that any of the forecasts mentioned will occur. Economic and market conditions are subject to change. Investing involves risks including the possible loss of capital. The Dow Jones Industrial Average (DJIA), commonly known as “The Dow” is an index representing 30 stocks of companies maintained and reviewed by the editors of the Wall Street Journal. It is not possible to invest directly in an index. Further information regarding these investments is available from your financial advisor. Material is provided for informational purposes only and does not constitute a recommendation.
What To Make Of Dow 30K
Thoughts on The Market
Larry Adam, CFA, CIMA®, CFP®, Chief Investment Officer
November 24, 2020
After recovering from its COVID-driven decline just last week, the Dow Jones Industrial Average has another record to celebrate. The index reached a major milestone as it closed above the 30,000 level for the first time on record today—its ninth new record high this year. If the month ended today (month-to-date: +13.4%), it would be the best month for the Dow Jones Industrial Average since January 1987 (+13.8%) and the best November since 1928. A wonderful way to celebrate the Thanksgiving holiday!
But what does it mean? The short answer is that the Dow is now up over 5% year-to-date on a price return basis, and that is has rallied more than 60% from its March 23 lows to fully recover its losses and once again hit record highs. Not too shabby! While these 1,000 point milestones are always hyped in the news headlines, we like to put them into perspective. For example, it is important to recognize that it has been more than 300 days since the last 1,000 point milestone—more than double the average duration for the previous ten one-thousand point increments—and the annualized return of 4.1% is the fifth lowest of any 1,000 point milestone on record. Incidentally, this 1,000 point increment only represented a 3.4% increase as each milestone going forward gets increasingly smaller.
The slowness of this milestone momentum is unsurprising given the historic levels of volatility experienced since the Dow reached the 29,000 level in mid-January, which was just prior to the COVID-driven drawdown. While the current COVID surge remains a key risk, a multitude of effective vaccine candidates and decreased levels of political uncertainty have overshadowed it. Nevertheless, the economic recovery from the COVID-induced recession has led to vast levels of dispersion beneath the Dow’s surface. In accordance with our expectation for a K-shaped economic recovery, constituents in the tech and home improvement areas have contributed heavily in this last 1,000 point gain. More specifically, while the Dow is up ~4% since the last milestone, leaders such as Apple (+49%), Walmart (+31%), and Home Depot (+22%) have lifted the index while constituents in the Industrial and Energy sectors, such as Chevron (-18%) and Boeing (-34%), have detracted.
Is the Dow Jones expensive and should we adjust portfolios? Given the recent strong rally in the equity market, we have grown more cautious in the near term as valuations (24.4x LTM P/E) are the most expensive they have been since at least 2001. However, despite the potential for near-term volatility, our positive outlook for equities over the longer term is supported by fundamental factors such as our forecast for a bounce back in economic activity in 2021, expectations for a substantial earnings rebound in 2021, an accommodative Federal Reserve, and heightened levels of cash still on the sidelines. With our optimistic long term outlook, we remind investors that timing the market is a difficult task, and we would not use psychological levels such as these to make portfolio changes.
All expressions of opinion are those of Investment Strategy and not those of Raymond James & Associates, Inc. and are subject to change. Information contained in this report was received from sources believed to be reliable, but accuracy is not guaranteed. Past performance is not indicative of future results. No investment strategy can guarantee success. There is no assurance any of the trends mentioned will continue or that any of the forecasts mentioned will occur. Economic and market conditions are subject to change. Investing involves risks including the possible loss of capital. The Dow Jones Industrial Average (DJIA), commonly known as “The Dow” is an index representing 30 stocks of companies maintained and reviewed by the editors of the Wall Street Journal. It is not possible to invest directly in an index. Further information regarding these investments is available from your financial advisor. Material is provided for informational purposes only and does not constitute a recommendation.
Goodrich & Associates Holiday Hours
Our office will be closed in celebration of Thanksgiving! Thursday, November 26th through Friday, November 27th we will be out of the office. We are back to regular hours on Monday, November 30th. Thank you and have a happy holiday!
10 Common Scams and How to Avoid Them
Lifestyle and Technology
January 07, 2020
Familiarize yourself with these common swindles, often targeting retirees.
As we age, we may become more susceptible to fraudsters who make a living preying on retirees. This can be especially true for widows and widowers who are making decisions alone and may be particularly trusting of friendly strangers. In order to protect ourselves and those we love, it’s important to be aware of the most common scams older Americans fall for.
1. Lottery scam
You get an unsolicited phone call or email saying you’ve won a large prize. All you need to do is send money to pay for shipping, taxes or some ancillary fee. You send the money, but the fictional prize never arrives.
2. Grandchild scam
Your grandchild calls to confess her troubles. Or so you think. It’s not uncommon for someone posing as your grandchild to call and, preying on your compassion, claim to be in a crisis situation and need money urgently. She may also beg you not to call her parents (which would give the scam away).
3. Charity scam
You donate to one charity and end up being on every charity list. That’s because they sell your name, phone number and email to other nonprofit and commercial organizations. These could include companies with similar names to charities you support – but they exist solely to scam donations.
4. Computer scam
Someone calls pretending to be from a major company, such as Microsoft, and says he can see that your computer has a virus. He offers to help you get rid of it by asking you to log into a website that lets him control your computer – then steals your ID information.
5. Timeshare scam
If you own a timeshare, you may get a call from someone claiming they’re authorized to sell it for you, for a fee. After paying, however, you never hear from them again.
6. Homeowner scam
A man comes to your door and offers to clean your gutters or trim your trees, which sounds like a good idea. Until he asks for prepayment and never completes the job.
7. Medical scam
You get an unsolicited call about a discounted price for some kind of medical equipment (i.e., heart monitor, wheelchair or bathtub bench). He asks for a deposit and your personal information or Medicaid number to send the equipment, which never arrives.
8. Foreclosure scam
You’re approached by a “professional” who claims your home is under threat of foreclosure and offers to pay off your mortgage or taxes if you sign over the deed to the property. With your deed, the fraudster can then refinance the mortgage for the full value of your home and take the money. Keep in mind, even if you sign over a deed to someone, you are still liable for your mortgage obligations.
9. Caregiver and sweetheart scam
These predators claim to care deeply for you or your well-being, but after winning your trust, they gain access to your accounts to steal money or identity information.
10. Title company scam
Before purchasing or closing on a new property, a scammer intercepts an email from your realtor or title company. You’re then sent fraudulent payment instructions to complete the transaction. Red flags include last minute changes to instructions, a change in tone or word choice from prior emails, a new sender address and multiple payment requests.
These scams are common and widespread. But speaking with trusted loved ones or your financial professional before making decisions can help you avoid these traps. Additionally, keep in mind these tips for staying safe:
Don’t pay for things you don’t remember ordering.
Don’t give your personal information to unknown third parties.
Work with financial institutions that use fraud protection to safeguard your credit card and banking information.
Don’t click links in the body of suspicious emails, especially if they claim to come from your bank, credit card company, realtor or title company. Instead, log in to the company’s official website or call them directly to verify.
Don’t let strangers into your house. Instead, ask for a business card and say your spouse, kids or lawyer will be in touch.
Be wary of caregivers and suitors, especially if you notice signs of substance abuse or other red flags.
Limit the purchases and donations you make by check, which may list your home address or other key data.
Giving Thanks, Double Dip Unlikely
Monday Morning Outlook
Brian S. Wesbury, Chief Economist
Robert Stein, Deputy Chief Economist
Date: 11/16/2020
Give Thanks! The US economy continues to heal. Payrolls keep growing, unemployment claims - though still elevated - are shrinking, key measures of the manufacturing and service sectors remain well into positive territory, and, as this week should show, both retail sales and industrial production remain on an upward trajectory.
While some investors are concerned about the near-term outlook for the economy given the recent increase in cases of COVID-19, we have yet to see signs of a double-dip recession. Yes, some locations have begun imposing new limits on economic activity, and others may follow. But businesses have come a long way, learning how to adapt and move forward from the mid-March environment, back when dealing with COVID19 was brand new.
Think about businesses built around people commuting to work or leaving the office and going out to lunch; those operations have already shrunk substantially, putting another decline of that magnitude virtually out of the picture. Meanwhile, consumers have shifted their spending, generating jobs elsewhere. For example, home improvements are on track to hit a calendar-year record high in 2020. Housing starts will be the highest for any year since the crash in housing more than a decade ago. Warehousing & storage jobs are at a record high, as are courier & messenger jobs.
We don’t have the data yet, but migration between states and cities appears to have picked up substantially in 2020, as people leave areas that have experienced either excessive violence or draconian pandemic-related lockdowns. This is just another piece of evidence that businesses and individuals have found ways to continue being productive in the face of unprecedented events. For this, and other reasons, we don’t see a double-dip recession.
Imagine being told back at the beginning of 2020 that the world was about to be hit by a global pandemic that would lead to massive government-imposed shutdowns of business activity around the country. Imagine being told that we were going into a sudden (and sharp) recession which would see the largest single-quarter decline in economic activity since the Great Depression.
As an investor with that knowledge, what would you have done? Would you bail out of the stock market completely, or go all-in? We watched many run for cover as stocks fell sharply.
And yet, as of the close on Friday, the S&P 500 was up 11.0% year-to-date, and that doesn’t include reinvested dividends. The market is up for a number of reasons. 1) The S&P 500 includes many large tech companies that we could not have lived without, and many companies considered “essential.” 2) The Federal Reserve pushed the discount rate down significantly. 3) Government stimulus helped support consumer spending. 4) Companies adapted and lowered expenses, and 5) Many people accepted the risk of behaving somewhat normally as they looked at the data surrounding the virus.
The resilience of the economy and corporations has rarely been tested as it was this year. This experience, combined with recent announcements about vaccines and therapies, will lead to further economic growth. When a business had no idea how long it would be before a vaccine for COVID-19 was available, it made sense to postpone some investments indefinitely. But when the distribution of an effective vaccine looks like it’s around the corner, they can begin to take action on long-term plans even before the economy is fully healed. Much of the uncertainty – be it about vaccines, the Supreme Court, or the elections - has now more or less passed.
Some uncertainty remains, it’s never fully gone, but when we compare the unknowns of today to that of just seven months ago, the risk to remaining invested in great companies has substantially declined. Give thanks for progress. A double-dip, while always possible, is unlikely.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
11-16 / 7:30 am Empire State Mfg Survey – Nov 13.8 13.5 6.3 10.5
11-17 / 7:30 am Retail Sales – Oct +0.5% +0.3% +1.9%
7:30 am Retail Sales Ex-Auto - Oct +0.6% +0.3% +1.5%
7:30 am Import Prices – Oct 0.0% -0.2% +0.3%
7:30 am Export Prices - Oct +0.2% -0.1% +0.6%
8:15 am Industrial Production – Oct +1.0% +0.8% -0.6%
8:15 am Capacity Utilization – Oct 72.3% 72.0% 71.5%
11-18 / 7:30 am Housing Starts – Oct 1.460 Mil 1.471 Mil 1.415 Mil
11-19 / 7:30 am Initial Claims – Nov 14 700K 697K 709K
7:30 am Philly Fed Survey – Nov 22.0 31.0 32.3
9:00 am Existing Home Sales – Oct 6.450 6.680 Mil 6.540 Mil
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected. The S&P 500 is an unmanaged index of 500 widely held stocks that is generally considered representative of the U.S. stock market. Keep in mind that individuals cannot invest directly in any index, and index performance does not include transaction costs or other fees, which will affect actual investment performance.
No Wave is Good News For Stocks
Monday Morning Outlook
Brian S. Wesbury, Chief Economist
Robert Stein, Deputy Chief Economist
Date: 11/9/2020
While the election is still not certified, and court battles will drag on, it appears that we can draw two firm conclusions from the 2020 election. First, the pollsters were horribly wrong again. Secondly, American voters do not want a radical shift in economic policy.
While Vice President Biden declared victory based on statistical evidence compiled by the media, there remains some ambiguity. States have not yet formally certified their election results, President Trump is pushing back with court cases, and recounts will be automatic in some states because of the closeness of the results. That said, the odds favor a Joe Biden Presidency for the next four years.
But, for at least the next two years, he will be interacting with a Congress that looks much different from the Blue Wave that pollsters expected. We know it is 2020, and anything can happen, but after Alaska and North Carolina report, it appears that Republicans will have at least 50 seats in the US Senate. The outcome of two runoff elections in Georgia, taking place in early January, will determine the final Senate make-up and it appears Republicans will win at least one of those.
In addition, Democrats lost perhaps 10 seats in the House of Representatives and when all the counting is done, we expect the Democrats will have about 224 seats versus about 211 for Republicans. Because mid-term elections have historically favored the party out of power, this result is causing the moderate wing of the Democrat party to push back against their more progressive members.
This pushback has teeth because Republicans around the country, in both House and Senate races, generally won by greater margins or lost by narrower margins than President Trump in their districts and states. And Republicans increased their power at the state legislative level.
As far as policy goes, what all this means is that a major tax hike, the Green New Deal, Medicare for All, and court packing are off the table. Yes, a Biden Administration will generate more rules and regulations, but the federal courts and all those Trump appointees during the past four years are likely to make sure agencies and departments stick to their legal mandates as passed by Congress.
In terms of legislation, we do expect Congress to pass a stimulus bill in the lame duck session, but it will not be the $3 trillion that Speaker Pelosi and the Democrats were pursuing before the election. It will not bail-out the states, which is particularly painful for Illinois, but we still expect a $1 trillion package to help with distributing a vaccine and provide more money for unemployed workers.
Next year, investors should expect some sort of infrastructure spending package, passing with bipartisan support. Because President Biden will need to get some sort of tax victory, look for an increase in the itemized deduction for state and local taxes, to around $20,000 from the current level of $10,000. Normally the GOP would oppose this policy change – it’s a bigger tax cut for residents in high-tax states, who tend to vote for Democrats, than for people in low tax states, who tend to vote for Republicans – but it’s still a tax cut, not a hike.
Trade wars are off the table, however, it will be hard for a new White House to justify going soft on China or for reversing progress made toward peace in the Middle East.
Meanwhile, the economy continues to grow and corporate performance continues to improve. According to FactSet, 89% of all S&P 500 companies have reported earnings for the third quarter and 86% of them have reported earnings above expectations. This is happening for two reasons. First, revenues have been better than expected, and second, costs have been cut as companies have adapted to challenging times. Productivity is up 4.1% from a year ago.
With news of an effective vaccine, expectations that fiscal policies will not change in any major way, continued low interest rates, and the entrepreneurial power of the US economy, the stock market is well on its way to continue making new highs. As we have reminded investors over and over, personal political preferences can cloud judgement. This past week makes that point, powerfully.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
11-12 / 7:30 am Initial Claims – Nov 7 725K 731K 751K
7:30 am CPI – Oct +0.2% +0.2% +0.2%
7:30 am “Core” CPI – Oct +0.2% +0.2% +0.2%
11-13 / 7:30 am PPI – Oct +0.2% +0.2% +0.4%
7:30 am “Core” PPI – Oct +0.3% +0.2% +0.4%
9:00 am U. Mich Consumer Sentiment -Nov 82.0 82.3 81.8
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected.
Expect Volatility as We Await Presidential, Senate Outcomes
Economy and Policy
November 04, 2020
“We are in for a very uncertain several days and weeks ahead,” notes Raymond James Washington Policy Analyst Ed Mills.
President Trump has exceeded expectations and polling predictions, winning a number of the core states critical to his reelection. However, as of early Wednesday morning, former Vice President Biden was the only candidate to flip an Electoral College vote from 2016 by winning Arizona (the Trump campaign contests that Biden has won) and Nebraska’s 2nd Congressional district.
The winner of two of the following – Michigan, Pennsylvania and Wisconsin – likely wins the presidency. The count in these key final states could take several days, if not weeks, to decide, and the president declared he will take this to the Supreme Court.
Republicans appear to have the advantage in retaining their Senate majority, but that too could take days or weeks to finalize – possible even until the January Georgia runoff election. The House of Representatives, as expected, will retain a Democratic majority.
Expect a volatile period for the markets, especially as prospects for a near-term lame duck fiscal relief package will be diminished.
Contested election
The current election result is the scenario we believe has the greatest market risk, especially if the final count in multiple states could lead to a recount or court battle with the winner of the Electoral College at stake. President Trump has already vowed to seek Supreme Court intervention and has raised the concern of fraud. We are in for a very uncertain several days and weeks ahead.
For financial markets, a contested election would probably be a risk-off event. The only historical comparison is Bush/Gore in 2000, during which the equity market traded off ~5% and then recovered when the election was settled. We would expect a steeper selloff this time.
Trump outperforms
Once again, President Trump outperformed expectations and polling averages. President Trump’s strength came with increased turnout among his base, and he made significant inroads among Hispanic voters, especially in Florida. We had long viewed Trump’s electoral strategy as convincing supporters who did not vote in 2016 to vote in 2020. In a quick scan of the outcome, we would highlight that President Trump added more than 1,000,000 votes to his 2016 outcome – an impressive feat. The path forward for President Trump will require him to win two of the following three – Michigan, Pennsylvania and Wisconsin.
Biden confident
In a speech to supporters, Biden exuded confidence in his position in the race, especially in his position in Pennsylvania, but also highlighted the campaign’s standing in Michigan and Wisconsin. Biden stated that they are also closely watching Georgia, which has swung back and forth throughout the vote count. This clearly was not the blue wave that the campaign was hoping for, but they are attempting to establish an early impression of a lead.
Senate races
Toss-up races often break as a group toward one party or the other. Republicans had a much better election night than expected and are in a decent position to maintain their Senate majority. As expected, Arizona and Colorado flipped toward Democrats, Alabama flipped toward Republicans. The Georgia special election is headed toward a run-off on January 5, 2021.
House races
Democrats will retain their majority in the House of Representatives, but the final tally will take several days to finalize. While this will be welcomed news for Democrats, it was not the wide expansion of their majority that they had hoped for heading into the election.
Market implications: split government
This outcome would mean a slower recovery, the lowest chance for fiscal stimulus, no tax rate increase but likely any regulatory negatives. Probably positive on relative basis for defensive and interest-rate-sensitive sectors (staples, utilities, healthcare) and negative for recent “pro-cyclical” trade (industrials, materials, financials, small/mid-cap stocks).
Market implications: status quo
This outcome would be the most positive for stocks broadly and would likely mean more fiscal stimulus and a potentially lower income tax rate. Most positive for financials and energy due to the likelihood of less regulation. Technology would be more questionable given China relationship risk; large caps would likely outperform.
Market implications: Democratic sweep
This outcome would likely mean a steeper yield curve and higher taxes for smaller caps and cyclicals. Essentially, investors would likely move out of bonds and into equities, and small/mid caps are most positively correlated to higher rates and inflation expectations, therefore likely benefiting. This outcome would be most beneficial to those sectors most positively impacted by a steep yield curve or fiscal spending, such as industrials, materials and financials.
This information is being provided for information purposes only and is not a complete description, nor is it a recommendation. Expressions of opinion are as of this date and are subject to change without notice. Keep in mind that there is no assurance that any strategy will ultimately be successful or profitable nor protect against a loss. Investment products are: not deposits, not FDIC/NCUA insured, not insured by any government agency, not bank guaranteed, subject to risk and may lose value. ©2020 Raymond James & Associates, Inc., member New York Stock Exchange/SIPC. ©2020 Raymond James Financial Services, Inc., member FINRA/SIPC.
No More Lockdowns
Monday Morning Outlook
Brian S. Wesbury, Chief Economist
Robert Stein, Deputy Chief Economist
Date: 11/2/2020
As the US opened up, real GDP rebounded sharply in the third quarter, growing at a 33.1% annual rate. However, real GDP is still down 2.9% from a year ago and the economy got a huge boost from spending by the federal government, which borrowed from the future in order to allow people to spend today.
The federal government spent $6.55 trillion in the Fiscal Year ending September 30, 2020, up 47.3% from FY2019. In total, the federal government spent 31.2% of GDP, the highest share since 1945. In the final year of World War II, national defense spending was 36.6% of GDP, while all other spending combined was only 4.4%. This past year, military spending was 3.5% of GDP, all other spending combined was 27.7%.
Some of this money was spent directly “fighting” the virus – ventilators, PPE, field hospitals, payments to hospitals for COVID-19 patients – but most was used to support small business and workers during the pandemic. To put this in perspective, non-defense spending in 2020, as a share of GDP was 40% larger than its previous peak of 19.8% of GDP back in 2009.
This can’t continue. Although the current debt of the US government is manageable, and would be even more so if we locked in low interest rates by issuing longer-term debt securities, that doesn’t mean we can indefinitely run annual budget deficits of more than $3 trillion, like we did last year.
Super-high spending during World War II was a price America decided to pay in order to preserve civilization and the American way of life. Now we’re spending massive amounts so we can keep businesses shut to try to fight a virus.
Certainly, some measures need to be taken to secure the most vulnerable, like the elderly, or people with underlying health problems. But we also need to come to grips with the fact that shutdowns cause long-term harm. We all know the physical and mental health problems that business and school closures have on people. These are real. What is talked about less is the fact that the kind of government spending we are seeing can have long-term consequences for the economy and our ability to deal with future problems. This is compounded by the fact that our government wants another $1 - 3 trillion in spending to address continuing economic problems.
A vaccine may come along that helps us deal with COVID-19 (and we hope it does), but that vaccine will only help with “one” virus, not all of them. At least by winning WWII we stopped anyone from trying to take over the world.
If another virus comes along, will we do the same thing – shutdown the economy, print money and spend – again?
We certainly hope not. The debt and money printing the US has done can only be absorbed by economic growth in the years to come. After WWII, the US economy expanded rapidly, partly because it was less damaged by war, which allowed us to reduce the debt burden as a share of GDP. This time is different. We can’t lockdown again.
Date/Time (CST) U.S. Economic Data Consensus First Trust Actual Previous
11-2 / 9:00 am ISM Index – Oct 55.8 56.2 59.3 55.4
9:00 am Construction Spending – Sep +1.0% +0.7% +0.3% +1.4%
11-3 / 9:00 am Factory Orders – Sep +1.0% +0.5% +0.7%
afternoon Total Car/Truck Sales – Oct 16.5 Mil 16.0 Mil 16.3 Mil
afternoon Domestic Car/Truck Sales – Oct 12.5 Mil 12.5 Mil 12.8 Mil
11-4 / 7:30 am Int’l Trade Balance – Sep -$63.9 Bil -$63.9 Bil -$67.1 Bil
9:00 am ISM Non Mfg Index – Oct 57.5 57.6 57.8
11-5 / 7:30 am Initial Claims - Oct 31 735K 730K 751K
7:30 am Q3 Non-Farm Productivity +5.0% +7.6% +10.1%
7:30 am Q3 Unit Labor Costs -10.0% -13.6% +9.0%
11-6 / 7:30 am Non-Farm Payrolls – Oct 600K 600K 661K
7:30 am Private Payrolls – Oct 700K 700K 877K
7:30 am Manufacturing Payrolls – Oct 53K 35K 66K
7:30 am Unemployment Rate – Oct 7.7% 7.6% 7.9%
7:30 am Average Hourly Earnings – Oct +0.2% +0.2% +0.1%
7:30 am Average Weekly Hours – Oct 34.7 34.6 34.7
2:00 pm Consumer Credit– Oct $8.3 Bil $5.0 Bil -$7.2 Bil
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected.
Rough Day for Stocks as COVID-19 Cases Surge, Election Looms
Markets and Investing
October 26, 2020
The S&P 500 posted its worst daily decline since late September but didn’t entirely erode October gains.
Stocks faltered at the beginning of the week as COVID-19 cases surged and stimulus talks stalled. Uncertainty surrounding the 2020 election also drove market declines.
The S&P 500 (-1.9%), Dow Jones Industrial Average (-2.3%) and NASDAQ (-1.6%) each sharply declined today. More specifically, the S&P 500 closed below its 50-day moving average for the first time in three weeks. While moves like this are uncomfortable and never easy to digest, it is important to put the decline in perspective, cautioned Chief Investment Officer Larry Adam. For the S&P 500, it was the worst daily decline since September 23 (basically one month ago). Even with the decline, the broad-market domestic index remains up ~1% for the month of October. This week, the market will receive economic data points that show the strongest quarter of economic growth in history (estimated at 25% to 30%) and the busiest week in earnings reports should highlight the resiliency of corporate America overall as earnings continue to improve and come in well above estimates.
A third wave of coronavirus cases in the U.S. spiked to 83,000, the highest ever single-day count, on October 23, coming close to that mark again the very next day, explained Healthcare Policy Analyst Chris Meekins. The average daily cases, week over week, continue to climb, as do hospitalizations and, sadly, fatalities, although the rate itself is lower than at the beginning of the pandemic.
“It is crucial for Americans to maintain vigilant mitigation measures; the virus’s spread is heading in an extremely concerning direction that could prove catastrophic for our country’s healthcare system and economy,” Meekins said. White House Chief of Staff Mark Meadows announced on Sunday that we will not be able to control the pandemic and should instead focus on vaccines and therapeutics.
Although unemployment rates remain high, consumers seem to have adjusted, returning to more familiar spending patterns as we await news of further fiscal stimulus. Talks have been in the works for some time. While there’s still hope that a bipartisan deal can be reached, policy differences remain the largest hurdle. Washington insiders seem to anticipate a post-election package in line with the government funding deadline on Dec. 11 or the year-end expiration of the Federal Pandemic Unemployment Compensation program, explained Ed Mills, Washington policy analyst.
Large swaths of the country have been contending with natural disasters, from multiple hurricanes to widespread wildfires. All of this, in addition to the upcoming Election Day, creates headwinds for the economy and the domestic equity markets in what has proven to be an already volatile year. More volatility is expected in the days to come, no matter which party takes control of Congress and the White House. If you’re concerned that the markets will dive or thrive based solely on who is in the Oval Office, historic trends show that anxiety has been unfounded in the past. Future growth is anticipated no matter what happens in D.C., but it may take some time.
Past performance may not be indicative of future results. Investing involves risk, and investors may incur a profit or a loss. All expressions of opinion reflect the judgment of the Raymond James Chief Investment Office and are subject to change. Economic and market conditions are subject to change. The S&P 500 is an unmanaged index of 500 widely held stocks. The Dow Jones Industrial Average is an unmanaged index of 30 widely held stocks. The NASDAQ Composite Index is an unmanaged index of all common stocks listed on the NASDAQ National Stock Market. The performance mentioned does not include fees which would reduce an investor’s performance. An investment cannot be made in these indexes.
Economy Poised for More Growth
Monday Morning Outlook
Brian S. Wesbury, Chief Economist
Robert Stein, Deputy Chief Economist
Date: 10/26/2020
To reiterate, this Thursday morning we expect the government to report a huge, and virtually unprecedented, surge of a 33.4% annualized growth rate in real GDP growth for the third quarter. There are still a few monthly reports due this week that could affect our forecast, but only slightly.
Obviously, the US will not keep growing at this rate, but the question remains about how much might it slow? Believe it or not, because we have September data – the "jumping off point" for the fourth quarter – we can start to make some early estimates about reported future growth rates. Right now, an annualized growth rate of 5% is highly possible and it could be even higher.
All of this depends on COVID-related shutdowns. As the US conducts more that 1 million tests per day, and uses highly sensitive tests as well, there has been a new "surge" in COVID-19 cases. In spite of this surge in new cases, deaths have remained relatively stable. This means the "case fatality rate" is falling. Nonetheless, because of fear about the surge in new cases, some politicians, like Illinois Governor Pritzker, have shutdown activities like indoor dining. So far, these new shutdowns are not widespread enough to alter the course of the macro-economy in any significant way, but that could obviously change.
If it doesn't, and US economy holds its September activity level, the fourth quarter is looking strong. Take cars and light trucks, for example, which sold at a 16.34 million annual rate in September versus the third quarter (July, August and September) average of 15.38 million. In other words, auto sales were an annualized 27.3% higher in September that the third quarter average. So, if vehicle sales flatline in the fourth quarter (October, November and December), they would be 27.3% higher, at annual rate, versus the third quarter average. The same goes for retail sales outside the auto sector: even if they remain unchanged in October, November, and December, the September level was already 4.7% annualized above the average level for Q3.
Single-family home building shows a similar pattern. Without any change in single-family housing starts for the last three months of the year, the quarterly average would still show growth at a 28.8% annual rate versus the Q3 average. Note that this is not true for multi-family housing starts, but those starts are so volatile from month to month that the jumping off point in September is less meaningful.
Rest assured we are not just cherry-picking the very best data. The total number of hours worked in the private sector were up at a 3.9% annual rate in September versus the Q3 average. Manufacturing output was up at a 0.8% annual rate in September versus the Q3 average. Both the ISM Manufacturing and ISM Service indexes finished September higher than the average for the third quarter. So, while some data reflect very strong growth and other data reflect more moderate growth, the general direction of the economy remains positive.
Given that we are nearing a presidential election, there are many unknowns regarding public policy for the next several months. Future tax rates on regular income, capital gains, and dividends, spending, tariffs, regulations,...all up for grabs. Who knows, maybe even the addition of states, additional limits on the Senate filibuster, and Court packing, as well.
That's why it's important to take stock of where we are right now. A full recovery from the disaster earlier this year is a long way off, but we believe that recovery started several months ago, and the early read is that the fourth quarter should be solid, as well.
The attached information was developed by First Trust, an independent third party. The opinions are of the listed authors at First Trust Advisors L.P, and are independent from and not necessarily those of RJFS or Raymond James. All investments are subject to risk. There is no guarantee that these statements, opinions, or forecasts provided in the attached article will prove to be correct. Individual investor's results will vary. Past performance does not guarantee future results. Forward looking data is subject to change at any time and there is no assurance that projections will be realized. Any information provided is for informational purposes only and does not constitute a recommendation. Investing involves risk and you may incur a profit or loss regardless of strategy selected.
Answering Four Common Questions About COVID-19 and 529 Plans
Family and Life Events
September 29, 2020
Learn how virtual classes, gap years, K-12 expenses and refunds may impact your education savings.
The COVID-19 outbreak has upended normal life across the world, and higher education has been no exception. As more college students respond to the pandemic by taking a gap year (i.e., a year-long break from school) or opting for reduced course loads, you may be wondering what these and other changes could mean for your 529 plan. Fortunately, we’ve got answers.
My college student is enrolled in virtual classes this semester. What expenses are covered under my 529 plan?
Higher education expenses that would normally be covered under a 529 plan also apply to virtual classes. These expenses include tuition, books, school supplies, fees, computer equipment and peripherals. Room and board will also be covered if your student is enrolled at least half time. To explore estimated expenses for an academic year, visit the respective college or university’s cost of attendance page.
If my college student takes a gap year or enrolls in fewer classes this semester, how would it affect my education savings?
Since 529 plans do not have an expiration date, your funds will be ready when you need them. This means you can resume distributions as you normally would once your student returns to school. If your student has opted for a reduced course load, then tuition, supplies and fees will all be covered by your 529 plan. However, they will need to be enrolled at least half time for room and board to qualify under your plan. If you have any questions regarding your student’s level of enrollment (partial, half time or full time), contact their educational institution.
I have a K-12 student. Can I use my 529 plan to purchase a computer? What about tutoring services?
The K-12 provision in 529 plans applies exclusively to tuition expenses. You may use up to $10,000 each year to cover these costs. While K-12 distributions are considered a qualified expense under federal law, not every state treats K-12 distributions in the same manner. To determine how your state treats K-12 distributions, consult with a local tax professional.
I received a refund from my student’s school. What are my options?
You have several options when it comes to managing amounts refunded by the school. The first is to use the refunded amount toward other qualified education expenses that same calendar year. This will ensure that your 1099 matches the incurred expenses. The second option is to re-contribute the refunded amounts back into the 529 plan within 60 days of the day the school issued the check. This contribution will be counted as a current year contribution. Just remember to safely store documentation of the refund and re-contribution for your records.
Earnings in 529 plans are not subject to federal tax and in most cases state tax, as long as you use withdrawals for eligible education expenses. However, if you withdraw money from a 529 plan and do not use it on an eligible education expense, you generally will be subject to income tax and an additional 10% federal tax penalty on earnings. Investment products are: not deposits, not FDIC/NCUA insured, not insured by any government agency, not bank guaranteed, subject to risk and may lose value.
Your Year-End Tax Planning Checklist
Tax Planning
September 28, 2020
Kickstart your tax season planning with this list of important deadlines, relevant documents and strategy considerations.
With the end of the year fast approaching, now’s the time to take advantage of tax-deferred growth opportunities, tax-advantaged investments and charitable giving opportunities, among other strategies. You’ll also want to maximize deductions and credits ahead of tax season.
As you consider these year-end options, sit down with your advisor to review your investments in light of your goals, the tax environment and the economic landscape. The conversation can help identify where adjustments need to be made to position yourself for next year and beyond.
Use the year-end tax planning worksheet below to kickstart the conversation and keep you on track throughout the upcoming tax season.
Year-End Tax Planning Worksheet
Raymond James financial advisors do not render advice on tax or legal matters. You should discuss any tax or legal matters with the appropriate professional.