Gaining Perspective

Today I am speaking with one of the advisory profession’s preeminent thought leaders, business strategist and success coach Stephanie Bogan. Stephanie is going to share her perspective on the value of coaching, some of her favorite lessons she has learned along the way as a coach and what it takes to really be Successful…in all aspects of your life, not just as an advisor. 

Gender-lens investing is one of the fastest-growing subsets of sustainable or impact investing—and should be of particular interest to you and your clients as you guide them toward their investment goals. Traditionally, gender-lens investing focused on investing in companies with a higher representation of women on their boards or in senior positions. Stopping at representation, however, may not be enough to achieve gender diversity and equality. Here to discuss the full scope of gender-lens investing is Anuradha (“Anu”) Gaggar.

One of the enduring effects of the pandemic will be the structural changes it inflicts on the economy. Some industries – hotels, travel, restaurants – may be obliterated or radically changed. Others, like those that support the podcasting technology I am using now, will be at the forefront of accelerated growth. With the advent of thematic ETFs, investors can position themselves for this structurally evolving economy.   My guest today, Jon Maier is here to discuss the role of thematic ETFs in your clients’ portfolios.

Over the past few months, advisors and investors have been whipsawed by market movements and emotions have been magnified due to the pandemic. And while the term behavioral finance has often been discussed in the advisor world, the application of it into practice tends to lag.

Dynamic Beta’s portfolios seek to match or outperform the portfolios of leading hedge funds by identifying, and investing directly in, the key drivers (or factors) that explain recent pre-fee performance.  Its engine is based on over a decade of research into the primary sources of returns among Equity Long/short, Managed Futures and Multi-strategy hedge funds.  Its portfolios consist only of highly-liquid futures and/or ETFs.

Nancy is the founder and managing partner of Quadratic Capital Management. She is the portfolio manager for The Quadratic Interest Rate Volatility and Inflation Hedge ETF (NYSE Ticker: IVOL).

Irrevocable trusts are an effective way to minimize the tax consequences of transferring wealth to future generations. My guest today, Michael Roberts, will discuss how they are set up, who they are most effective for and how advisors can advance their relationships with clients by using them.

Individuals are often reluctant to speak to their heirs about the amount of wealth they will leave behind for a variety of reasons. Jan Blakeley Holman, my guest today, will explain the common barriers to those discussions and how advisors can help their clients overcome them.

Structured-outcome ETFs have garnered tremendous interest from investors in light of the rampant volatility this year. But those defensive-minded funds have also revealed their often overlooked drawbacks – they limit upside gains up to a certain level in order to provide their downside buffer. As a result, the unexpectedly sharp rebound that began in April has whip-sawed investors holding first generation structured-outcome ETFs, and they are now trailing behind as the next leg of the bull market has taken root.

The Investment Advisers Act of 1940, more commonly known as the 40 Act, is a U.S. federal law that defines the role and responsibilities of an investment advisor. Prompted in part by a 1935 report to Congress on investment trusts and investment companies prepared by the SEC, the act provides the legal groundwork for monitoring those who advise pension funds, individuals and institutions on investing. It specifies what qualifies as investment advice and stipulates who must register with state and federal regulators in order to dispense it.