Active Management Library

This is a listing of some of the many resources that NAAIM members can use to educate themselves about Active Investment Management. If you’re a NAAIM member, login and go to the NAAIM Community to view or download the information that you need. If you are not a NAAIM member, visit our Membership page to learn more about NAAIM and how you can benefit by joining.

NEW RESOURCES:

The Road Map for Active Managers – 2023 (NAAIM)

July 2023 – The Active Manager Newsletter (NAAIM)

April 2023 – The Active Manager Newsletter (NAAIM)

February 2023 – The Active Manager Newsletter (NAAIM)

NEW – WEBINAR:

Pitfalls, Traps and Opportunities for 2021 – A Look Ahead in the Financial Markets – Presented by Tony Dwyer, Senior Managing Director, Macroeconomist and Chief Market Strategist, Canaccord Genuity.  He can be reached at 212-389-8216; Twitter @dwyerstrategy; web www.dwyerstrategy.com.  Recorded January 20, 2021. LISTEN TO THE WEBINAR

• Webinar: 2020 Founders Award Winning Paper Presentation:  Actively Using Passive Sectors: Generating Alpha Using the VIX – Presented by Michael A. Gayed, CFA, Toroso Investments.  Recorded December 9, 2020.  LISTEN TO THE WEBINAR
• WEBINAR: A New Approach to Relative Strength Investing With Leveraged Funds – Presented by Leks Gerlak, CFA, Tactical Investment Strategist, ProShares|ProFunds and Ben Jones, Senior Analyst, Nasdaq Dorsey Wright – recorded October 15, 2019.  LISTEN TO THE WEBINAR
• WEBINAR: Understanding the Benefits and Risks of Using Inverse and Leveraged Funds – Leks Gerlak, CFA, Investment Strategist, ProShares and Roya Vassell, Tactical Relationship Manager, ProShares | ProFunds – recorded December 11, 2018.  LISTEN TO THE WEBINAR
• WEBINAR: Mining the NAAIM Indicator Wall – Dave Moenning, Heritage Capital Research – recorded September 25, 2018.  LISTEN TO THE WEBINAR
• WEBINAR: Swimming with the Sharks: How 2018 Shark Tank Winner Dave Moenning Manages Risk – Dave Moenning, Heritage Capital Research – recorded September 6, 2018.  LISTEN TO THE WEBINAR
• WEBINAR:  How To Invest And Protect Your Assets In A Risky Geopolitical Environment – John Kosar, CMT, Chief Market Strategist, Asbury Research LLC. – recorded August 15, 2018.   LISTEN TO THE WEBINAR
• Investment Advisor Compliance Update – FALL 2018: Stark & Stark Attorneys at Law
  Investment Advisor Compliance Update – SPRING 2019 | Stark & Stark Attorneys at LawWEBINAR:

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• Tech and Social Media
  • Financial Advisor Technology Guru Joel Bruckenstein invites you to sign up for a monthly summary of all articles posted on his T3 Technology Hub website
  • Putnam Investments Webinar:
    • Leveraging LinkedIn for your practice, Chad Hollis, Manager, Marketing Technology Listen to replay now.
• Compliance
  • The Consortium offers a number of compliance related resources, (some free, others for a small charge) including
    • Compliance E-Post A free monthly email service with brief postings of the hot industry buzz
    •  Compliance E-News – The monthly executive summary of all the news that made the news.
    • Compliance E-Alert – A value-added subscription service which also includes E-News.  Provides timely alerts, plus newly published research and forms
• Investment Management
  • Putnam Investments Webinar Recordings:
    • How floating-rate funds can help you navigate rates Paul D. Scanlon, CFA, Co-Head of Fixed Income Listen to replay now
    • Tax-free investing today, Thalia Meehan, CFA, Portfolio Manager Listen to replay now.

Industry Reports

• Explore how a tactical approach may help maintain diversification
  • The Diversification Dilemma Tactical Management and Today’s Evolving Markets by Douglas C. Mangini, J.D., Senior Managing Director, Guggenheim Investments
• “Three Fundamentals – Using Active Management, Behavioral Finance and Planning to Reach Client Objectives”  – This paper defines the fundamental reason for portfolio management is to meet client’s objectives—rather than beat the market.

Resources on “Market Timing”

NAAIM defends active investment management in comments responding to a Department of Labor Rulemaking: October, 2008

NAAIM Position Paper on Redemption Fees: 

“The Performance of Professional Market Timers: Daily Evidence From Executed Strategies”
Journal of Financial Economics, Don M. Chance and Michael L. Hemler

Books

All About Market Timing – Leslie N. Masonson, McGraw Hill 

The Essential Basics of Technical Analysis for Financial Advisors – Walter Deemer
Everything you Know About Investing is Wrong – John K. Sosnowy with Kori S. Voorhees, Xlibris Corporation
Lasting Wealth is a Matter of Timing – John Sosnowy, 21st Century Publishers
Panic-Proof Investing – Thomas F. Basso, John Wiley & Sons

Articles

The Journal of Investing Summer, 1997 Why Market Timing Works
The Investment Reporter January, 1996 Buy-and-Hold Brinkmanship: A Young Person’s Investment Game
Personal Financial Planning November/ December, 1996 Adding a Dynamic Component to the Asset Allocation Mix
Financial Planning on Wall Street April, 1994 Market Timing Strategies Spell $s
AAII Journal May, 1994 The Market Timing Approach: A Guide to the Various Strategies
Hulbert Financial Digest August, 1993 It’s a Matter of Time
Technical Analysis of Stocks & Commodities December, 1994 Three Market Timing Strategies

Podcasts 

2015 Uncommon Knowledge Interviews, Courtesy of OC Talk Radio)

1. The NAAIM Conference discussion – approx. 60 minutes

http://www.strategicinvestorradio.com/e/naaim-conference-summary/

2. Interviews with 12 different NAAIM Conference attendees – Each last 3 – 7 minutes
   1. Ben Warwick – http://www.strategicinvestorradio.com/e/ben-warwick-quantitative-equity-strategies/
   2. David Walton – http://www.strategicinvestorradio.com/e/david-walton-statis-trade/
   3. Ken Graves – http://www.strategicinvestorradio.com/e/ken-graves-capital-research-advisors/
   4. Ralph Doudera – http://www.strategicinvestorradio.com/e/ralph-doudera-spectrum-financial/
   5. Dudley Lehmer – http://www.strategicinvestorradio.com/e/dudley-lehmer-eagle-mountain-advisors/
   6. Larry McMillan – http://www.strategicinvestorradio.com/e/larry-mcmillan-mcmillan-analysis-corp/
   7. Jonathan Wallentine – http://www.strategicinvestorradio.com/e/jonathan-wallentine-actuarial-management/
   8. Mike Dean – http://www.strategicinvestorradio.com/e/mike-dean-dfg-advisory/
   9. Michael Gayed – http://www.strategicinvestorradio.com/e/michael-gayed-pension-partners/
   10. John McClure – http://www.strategicinvestorradio.com/e/john-mcclure-profit-score/
   11. Tyler Wood – http://www.strategicinvestorradio.com/e/tyler-wood-market-technicians-association/
   12. Paul Schatz – http://www.strategicinvestorradio.com/e/paul-schatz-heritage-capital/