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.

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NEW RESOURCES:

April 2023 – The Active Manager Newsletter (NAAIM)

February 2023 – The Active Manager Newsletter (NAAIM)

October 2022 – The Active Manager Newsletter (NAAIM)

June/July 2022 – The Active Manager Newsletter (NAAIM)

April 2022 – The Active Manager Newsletter (NAAIM)

January 2022 – 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

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• 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.

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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.

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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

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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

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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

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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/