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Highlights from the Solo Advisors Meeting

Every year during NAAIM’s Uncommon Knowledge conference, solo advisors gather to share tips and best practices, especially for running a practice by yourself or with a small staff.  This year was no exception.  With more than 15 advisors in attendance, we had a lively discussion, touching on topics such as … View Post

By: Susan Baber   Posted: 17th May 2013   Comments: 0

True Cost of Investing: ETFs vs. Mutual Funds – May 15 Webinar

The National Association of Active Investment Managers (NAAIM) and 2013 NAAIM National Sponsor, Guggenheim Investments, are pleased to host a live webcast with Carl Resnick, Director of Rydex Funds Distribution, Guggenheim Investments on:  Wednesday, May 15, 2013 at 4:15 p.m. EDT The reflexive perception that ETFs cost less, simply based … View Post

By: struesdale   Posted: 7th May 2013   Comments: 0

The Key to Investor Success is Combining Active Management with Behavioral Finance and Financial Planning

For more information contact: Dave Moenning 2013-2014 NAAIM President 888-261-0787 info@naaim.org NAAIM Releases Industry White Paper to Bring New Perspective on Active vs. Passive Investing ~ Industry report finds that the key to investor success is combining active management with behavioral finance and financial planning Denver, CO.  April 29, 2013.  … View Post

By: struesdale   Posted: 29th April 2013   Comments: 0

DC Download: Taxes, the Budget, Debt Ceiling – Chris Krueger, Guggenheim Securities to present at NAAIM Conference

NAAIM is pleased to announce that Chris Krueger, Managing Director and Senior Policy Analyst at Guggenheim Securities’ Washington Research Group, will open the NAAIM conference as our Keynote Speaker on Monday, April 29, in Denver, Colorado. Chris will discuss key issues such as taxes, “fiscal fatigue,” and the budget. He … View Post

By: struesdale   Posted: 26th April 2013   Comments: 0

2013 Wagner Award First Place Winner Announced

  2013 NAAIM Wagner Award winner Dave Klein Shares his Secrets for Achieving consistent Outperformance while Mitigating Risk Littleton, CO – April 18, 2013 – The National Association of Active Investment Managers (NAAIM) announced today that Dave Klein is the 2013 first-place winner of the NAAIM Wagner Award for Advances … View Post

By: struesdale   Posted: 18th April 2013   Comments: 2

Uncommon Knowledge 2013 – Agenda Available! Register Today!

Take advantage of one of the most dynamic investment adviser conferences on the 2013 calendar. The National Association of Active Investment Managers Uncommon Knowledge conference is an uncommon exchange of new ideas among a very innovative group of investment advisers. Mark your calendar now for NAAIM’s 2013 Uncommon Knowledge conference … View Post

By: admin   Posted: 19th February 2013   Comments: 0

February 28 – Deadline for Best Research Paper on Use of Active Investment Management (Wagner Award)

NAAIM 2013 Wagner Award Competition deadline to receive papers is February 28! Three bear markets in 10 years and the investment media is full of articles on how to “time” the market and avoid the next bear.  But do these methods really work?  Is there a way to profitably use … View Post

By: admin   Posted: 16th February 2013   Comments: 0

Marketing CRAM Session – less than 10 days away! Sign Up Today!

“To Tweet or Not To Tweet?” (And Other Lessons Learned on Marketing and Technology) The CRAM in Dallas will focus on lessons learned from the school of hard knocks in the areas of marketing and technology. What works, what doesn’t. Why you may want to tweet and why you may … View Post

By: admin   Posted: 27th November 2012   Comments: 0

Monday – Trading Techniques CRAM Session – It’s not too late to register!

Join NAAIM in Chicago for the Trading Techniques CRAM Session Adapting Trading Strategies to the New Normal Market Environment Monday, November 12 through Tuesday, November 13, 2012 Crowne Plaza Hotel & Conference Center O’Hare, 5440 N. River Rd., Rosemont IL 60018 To Register for the CRAM Session Online: CLICK HERE … View Post

By: admin   Posted: 28th September 2012   Comments: 0

Webinar – Alpha Opportunites Heading Into Elections & 2013

Where are the opportunities to create alpha for your clients heading into the elections? What will alpha opportunities look like in 2013?  The National Association of Active Investment Managers (NAAIM) and 2012 NAAIM National Sponsor, Guggenheim Investments, are pleased to host a webinar with Charles Stucke, Senior Managing Director of Guggenheim … View Post

By: admin   Posted: 13th September 2012   Comments: 0

A Bill to Expand SEC Examinations of Advisors

As a counter to FINRA’s legislative maneuvering to become the SRO for investment  advisors, House Democrats have introduced legislation that would expand the SEC’s role. Specifically, it would authorize the SEC to assess user fees as a way to expand its advisor examination capabilities. For the full article, go to … View Post

By: admin   Posted: 30th July 2012   Comments: 0

Gary Antonacci awarded $10,000 NAAIM 2012 Wagner Award for “Momentum Success Factors” paper

Littleton, CO – May 6, 2012 – The National Association of Active Investment Managers (NAAIM) announced today that Gary Antonacci is the 2012 first-place winner of the NAAIM Wagner Award for Advances in Active Investment Management for his paper Momentum Success Factors. In its fourth year, the NAAIM Wagner Award … View Post

By: admin   Posted: 24th May 2012   Comments: 0

Bill Mandating SRO for SEC Registered Advisers Opens Door to FINRA Oversight

Make Your Opposition Heard  Are you ready for the fate of your advisory practice to be subject to the broad rulemaking and inspection authority of a quasi-governmental, private regulator? How about a regulator with a track record of a lack of accountability, lack of transparency, weak track record of enforcement, … View Post

By: admin   Posted: 1st May 2012   Comments: 0

RIA Compliance Alert

Attention All Members: RIA Compliance Alert Excerpt from the alert: “A bill was introduced on Wednesday by Rep. Spencer Bachus (R-Alabama), Chairman of the House Financial Services Committee, that if passed would significantly impact RIAs. The bill, the “Investment Adviser Oversight Act of 2012,” would establish one or more self … View Post

By: admin   Posted: 18th April 2012   Comments: 0

Sponsorship Opportunities are Expanding within NAAIM

NAAIM Sponsors, those businesses that offer products and services to the active managers that make up the naaim membership, are essential to the financial well-being of the organization as well as in providing educational resources to the membership. “We want our sponsors to think of NAAIM as one of the … View Post

By: admin   Posted: 1st December 2011   Comments: 0