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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.


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)


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  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:

  • 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

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


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


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


2015 Uncommon Knowledge Interviews, Courtesy of OC Talk Radio)

  1. The NAAIM Conference discussion – approx. 60 minutes

  1. Interviews with 12 different NAAIM Conference attendees – Each last 3 – 7 minutes
    1. Ben Warwick –
    2. David Walton –
    3. Ken Graves –
    4. Ralph Doudera –
    5. Dudley Lehmer –
    6. Larry McMillan –
    7. Jonathan Wallentine –
    8. Mike Dean –
    9. Michael Gayed –
    10. John McClure –
    11. Tyler Wood –
    12. Paul Schatz –