The Epidemiology of Volatility Transmission Management

There exist common pathways in the transmission of viruses and in those related to volatility. Volatility created by global pandemics can quite literally make investors and advisors, sick.

This one-hour presentation highlights proven ways to mitigate and manage portfolio volatility and avoid the high performance drag and cost associated with traditional tail-risk strategy.

Presenters: Mike and Matt Thompson, co-founders of Thompson Capital Management, a subsidiary of Little Harbor Advisors and Rick Roche, Managing Director Educational Services, Regional Director, Little Harbor Advisors.

Time: 60 minutes

Credit: One-hour of CE credit (CFP-ID #262831)

How Wealth Advisors Can Optimize After-Tax Outcomes With PPLI/PPVA

When it comes to tax efficiency, asset preservation and estate tax mitigation, private placement life insurance (PPLI) and private placement variable annuities (PPVA) remain under-utilized among ultra-high net worth clients, family offices, and their advisors. How can advisors utilize these options to expand influence with clients and differentiate their practices?

This 60-minute presentation explores how PPLI and PPVA can be leveraged to develop recurring sources of revenue while highlighting the value wealth advisors, asset managers, CPAs, attorneys and insurance professionals play a pivotal role in strategy implementation. Presenters will highlight real-world case studies to demonstrate successful implementation for improved after-tax outcomes.

Presenters: Rick Roche, Managing Director Educational Services, Regional Director, Little Harbor Advisors.
David C. Reynolds, CFP and Business Development for Spearhead

Time: 60 minutes

Credit: One-hour of CE credit (CFP-ID #262831)

Moments of Truth: Tail-Risk Protection for Non-Normal Markets

Securities markets do not follow normal distributions and often used forecasting models result in fatter tails and larger drawdowns than normal distributions would indicate. To provide tail risk protection and mitigate drawdowns, wealth advisors and institutional investors can leverage learned tips shared in this 45-minute discourse. The program showcases the four higher moments of distributions, varied types of probability density functions (PDFs), why tails occur, and how to protect investor portfolios from tail-risk events in a non-normal world.

Presenter: Rick Roche, Managing Director Educational Services, Regional Director, Little Harbor Advisors.

Time: 60 minutes

Credit: One-hour of CE credit (CFP-ID #262831)

AI and Machine Learning in Investment Management

In 2019, the CFA began requiring exam takers to have a basic understanding of artificial intelligence (AI), big data and robo-advisory algorithms in response to trending digital disruption and growing dependence on machine learning, AI, automated trading systems (ATS) and algorithmic investing in the financial industry.

Attendees of this 60-minute webinar will gain an educated look into the world of quantitative investing and explore how asset managers combine human and machine intelligence within investment decision making processes. The presenter will reveal some of the largest practitioners and emerging players in the quant investing space and explore how asset managers combine human and machine intelligence within investment decision making processes. No previous experience required.

Presenters: Rick Roche, Managing Director Educational Services, Regional Director, Little Harbor Advisors.

Time: 60 minutes

Credit: One-hour of CE credit (CFP-ID #262831)

Structured Products: A Fiduciary Guide

In October 2019, the Certified Financial Planners (CFP) Board revised its Code of Ethics and Standards of Conduct, expanding practitioners’ obligation to act as a fiduciary at all times when providing financial advice. This was a change from the prior Standard which only required a CFP to act as a fiduciary when providing financial planning.

The program outlines the complex and opaque world of medium-term and principal protected notes which are an attractive alternative investment that can offer both a guaranteed return of principal (subject to the credit worthiness of issuer) and an equity participation component.

Presenter: Rick Roche, Managing Director Educational Services, Regional Director, Little Harbor Advisors.

Time: 60 minutes

Credit: One-hour of CE credit (CFP-ID #262831)

 

Using the Dynamics of Market Volatility to Manage Risk

Embedded in U.S. equity market volatility is valuable information that can be used to estimate near-term market price-movement. The recent market disruption provides a live test of this thesis.

*These courses are provided for educational purposes and free of charge.

Two Little Harbor strategies employ the dynamics of volatility to inform tactical exposure to market beta

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