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Practice Management

Among the benefits of NAAIM membership is access to information and tools developed by its members. Below is a sampling of resources, information and firms where discounts have been negotiated for the NAAIM members.

“Since day one, NAAIM has been an organization whose members view each other as colleagues rather than competitors; and therefore, everyone is willing to share freely of their knowledge and experiences. This attitude of sharing has kept me from having to try to “reinvent the wheel” on numerous occasions”.

– John Sosnowy, founding president

Discounted products and services from the following publications and firms offered to NAAIM members include:

Putnam FundVisualizer

Putnam offers a powerful and free way for you to analyze funds and ETFs.
The Putnam FundVisualizer allows you to:

  • Access information on over 11,000 funds and ETFs
  • Review up to 60 performance and risk metrics
  • Create portfolio modeling and fund-to-fund comparisons
  • Save charts which will update automatically

This application is also available for your tablet.  Just visit the app store and download FundVisualizer.

Here is the link to the tool:


THETA Research
NAAIM members receive a $100 discount off the annual Theta Research Subscription fee:

  • Professional Subscription – $195 per year.
  • Basic Subscription is $99 per year (savings of $100).

The discount remains in effect for as long as you are a NAAIM member.


Investment News Research

  • Industry Benchmarking / Moss Adams
  • Preferred pricing on research studies
  • Custom data cuts for NAAIM members
  • RSS feed of practice management stories, blogs and columns
  • Access to Investment News Research site including videos, and research related stories
  • Adviser’s Consultant Newsletter


The Essential Basics of Technical Analysis for Financial AdvisorsWalter Deemer, Author. This  book describes the essential basics of technical analysis of financial markets that Financial Advisors and Financial planners absolutely must know. The material is presented in a concise, easy-to-understand and well-illustrated format to keep reading time to a minimum.  If you are a NAAIM member, you can receive discounted pricing by visiting “NAAIM Community Resources“.


CFP CE Credits
For select presentations and webinars hosted by NAAIM

For more information contact Susan Truesdale, or 888-261-0787



Active Managers are most often organized as an investment adviser:

  • Provides advice or analysis on securities either by making direct or indirect recommendations to clients or by providing research or opinions on securities or securities markets.
  • Receives compensation in any form for the advice provided.
  • Engages in a regular business of providing advice on securities.

A good overview of the regulation of investment advisers can be found at the NASAA web site Investment Adviser Guide.

Organized in 1919, the North American Securities Administrators Association (NASAA) is the voice of state securities agencies responsible for efficient capital formation and grass-roots investor protection. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public.

NASAA members license firms and their agents, investigate violations of state and provincial law, file enforcement actions when appropriate, and educate the public about investment fraud.

Through the NASAA web site Quick Links, individuals can find contact information for the individual state securities administrators.

For information on the U.S. Securities and Exchange Investment Adviser requirements, we recommend you visit the SEC’s Investment Adviser web pages.

The following are links to materials compiled by NAAIM for its members on compliance issues

  • Reporting Hypothetical Results — Clover Letter
  • Reporting Hypothetical Results — Clover Reply Letter
  • Reporting Hypothetical Results — Using Backtested Results
  • Reporting Hypothetical Results — Clover Letter Questions
  • SEC Registration Requirements
  • State Registration Requirements


NAAIM Keeps Members On Track

Compliance is a continually evolving subject as the concerns of the regulators change to keep pace with industry issues, technology and consumer protection issues. Through its annual conference, CRAM session, webinars and online exchanges, NAAIM provides its members with an opportunity to keep abreast of compliance issues and develop effective solutions.

Social Media

3 Steps to Improve your Social Media Strategy – Jerry Broussard, Broussard Financial Group, LLC