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    Archived pages: 204 . Archive date: 2013-10.

  • Title: The National Association of Active Investment Managers - NAAIM
    Descriptive info: .. YouTube.. LinkedIn.. Member Login.. Join NAAIM.. 888.. 261.. 0787.. About.. Active Management.. Board Of Directors.. Committees.. Location.. Resources.. Find an Advisor.. Wagner Award.. Active Management Library.. Regulatory Contacts.. Newsletter Archive.. News.. Press Releases.. In the News.. Position Papers.. NAAIM Survey of Manager Sentiment.. Media Contact.. Events.. Upcoming Events.. Annual Conference.. Outlook Conference.. Chapter and Regional Meetings.. Webinars and Teleconferences.. Sponsorship Opportunities.. Sponsors.. Our Sponsors.. Become A Sponsor.. Community.. Forum.. Blog.. Contact.. Request your Membership Packet.. Enter your information and we will email you a special welcome packet with membership details pricing.. Sign Up For Our Active Manager Newsletter ».. What is NAAIM?.. At NAAIM, you will discover the best networking and educational resources within the active investment management community.. Through our associate members, you will find products and services specifically designed to help active management firms succeed and grow.. Learn More.. Win $10,000 Wagner Award.. Calling all entries for the NAAIM 2013 Wagner Award whitepaper competition.. The competition is open to all investment practitioners, academic faculty and doctoral candidates who submit an innovative topic in the area of active investing.. Submit Your Entry.. Join Us Grow Your Business.. Join, network and learn from over 200 active investment advisors who know that investment strategies work best when there is an active component to limit the risk of down markets and to take advantage of opportunities that change with market cycles.. Membership Benefits.. Track Market Sentiment.. Track the equity exposure of your fellow members using the NAAIM Survey of Manager Sentiment graph and reporting tools.. Survey Results..  ...   the help I have received from countless NAAIM members is truly priceless.. - Dave Fulkerson.. “I find that belonging to NAAIM gives me a great network of leading edge professionals to associate with and learn from.. The conferences are great, and there is a true spirit of sharing and helping that I find invaluable.. - Rick Holbrook.. "If we could only go to one conference from now on, it would be NAAIM.. Nowhere else can such a high level of knowledge be found in one place.. The ideas and friendships we took away from the meeting are invaluable.. ".. - Anthony Welch Ian Naismith.. 2013 Wagner Award Call For Entries.. The NAAIM Wagner Award is designed to expand awareness of active investment management techniques and.. Find an Active Investment Advisor.. NAAIM Advisors can be found nationwide.. Find a professional who can help you achieve your investements goals.. Search.. Welcome to the National Association of Active Investment Managers.. Our site and the investment strategies of our members reflect the belief that the best investing approaches are active and adapt to current market conditions.. Take some time to explore our site and then contact NAAIM with your questions on active management and how we can be of service to you.. Brenda Wenning.. 2012 2013 NAAIM President.. View All of Our Sponsors ».. National Association of Active.. Investment Managers.. 6732 W.. Coal Mine Ave.. #446, Littleton, CO 80123.. Phone:.. Fax:.. 303.. 979.. 2192.. RSS Feed.. Copyright © 2013 National Association of Active Investment Managers, Inc.. Privacy Policy.. Site Map..

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  • Title: Active investment management services | About NAAIM
    Descriptive info: About NAAIM.. NAAIM.. » About NAAIM.. The National Association of Active Investment Managers or NAAIM was formed in 1989 as a non-profit association of registered investment advisors who provide active money management services to their clients, in order to produce favorable risk-adjusted returns as an alternative to more passive, buy and hold strategies.. Originally called SAAFTI and comprised of a small group of successful, passionate firms, NAAIM has grown to include roughly 200 member firms nationwide, managing over $30 billion.. NAAIM s purpose is to promote the common interests of those investment advisors who provide active investment management services to clients.. NAAIM defines active investment management services as taking an active role in the ongoing process of investment selection and risk management with the objective of improving a portfolio s risk/reward relationship.. The active management strategies used by our members are diverse, and utilize a broad range of securities including mutual funds, variable annuities, equity baskets, index-linked, exchange-traded securities, futures and other innovative products.. NAAIM s membership ranges from small regional firms to large national firms with over $1b AUM,  ...   exchange information, experiences and opinions through discussions, meetings, study and publications;.. Keeping its members informed of legislative and administrative changes affecting investment advisory services, and representing their interests in the formulation of policy affecting such services;.. Developing and encouraging the practice of high standards of personal and professional conduct among members and the public;.. Educating the public with regard to the concept and benefits of active investment management services and promoting the public s use of such services.. NAAIM s many professional development opportunities are headlined by our annual conference Uncommon Knowledge which is held each spring in locations around the U.. S.. CRAM (Cultivating Relationships Among Managers) Sessions are held several times a year on timely topics for our members, as are teleconference and webinar events.. In addition, the members-only portion of our site provides for the ready exchange of ideas and information among members.. For more information on NAAIM and the benefits we offer our members, we invite you to continue to explore our site and to call or email if you have additional questions.. Become a Member..

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  • Title: Active Management | NAAIM
    Descriptive info: » Active Management.. Modern portfolio theory holds that the marketplace demands a higher rate of return from higher risk investments.. This has proven true for the stock market, which has historically outperformed most other forms of investments, but at the cost of subjecting investors to greater volatility or risk.. Risk is defined as the variability of an investment s returns over time.. Between 1929 and 2008, there have been 15 bear markets, periods when the S P 500 has fallen at least 20%.. The average bear market caused stock prices to decline 39%.. Omitting the 1929 crash, when values declined 87%, there was still an average loss of 36%.. During those 81 years, a new bear market began on the average of every five years, and lasted 18 months.. After the bear market bottomed, omitting the 1929 crash, it took an average of 3.. 6 years just to break even.. S P 500 Index Bear Market Study September 1929 through 2008.. S P 500 Bear Markets.. Duration.. % Decline.. Time to Breakeven.. Sept 29 Jun 32.. 33 months.. -86.. 7.. 25.. 2 years.. Jul 33 Mar 35.. 20 months.. -33.. 9.. 3 years.. Mar 37 Mar 38.. 12 months.. -54.. 5.. 8.. 8 years.. Nov 38 Apr 42.. 41 months.. -45.. 8.. 6.. 4 years.. May 46 Mar 48.. 22 months.. -28.. 1.. 1 years.. Aug 56 Oct 57.. 14 months.. -21.. 6.. Dec 61 Jun 62.. 6 months.. 0.. Feb 66 Oct 66.. 8 months.. -22.. 2.. Nov 68 May 70.. 18 months.. -36.. Jan 73 Oct 74.. 21 months.. -48.. 7.. 6 years.. Nov 80 Aug 82.. -27.. Aug 87 Dec 87.. 4 months.. 9 years.. Jul 90 Oct 90.. 3 months.. -19.. 0.. Mar 00 Oct 02.. 31 months.. -49.. 7 years.. Oct 07 Oct 08.. 17months.. -56.. Unknown.. Source: Telephone Switch Newsletter, Summer 1992.. Updated by the National Association of Active Investment Managers, Inc.. through 2012.. Active Managers Don t Have to be 100% Right.. Studies of market indices over the past 70 years show that active managers can actually be on the wrong side of the market nearly 40% of the time and still equal a buy-and-hold return.. In other words, the manager could miss 20% of a major up move in the market, participate in 20% of the drop and still equal the S P 500 due to a phenomenon known as the buy-and-hold equalizer.. (Why Market Timing  ...   markets hurt investors in a number of ways.. First, the more investors lose money in a down market, the more they lose valuable time and opportunity.. Over the past 70 years, the major indices spent nearly 60% of the time sitting out bear markets and then returning to earlier highs.. Only about 40% of the time were real gains being made.. The real damage of down markets, however, is created by human behavior.. Real people don t buy and hold.. Typical investors hold on in declining markets until the pain becomes too great and then sell out, typically at the market s bottom.. Disillusioned by the loss, they hesitate to reinvest in equities until the market is making record highs missing out on the opportunity to recoup their losses.. Lacking a disciplined system, many investors chase the latest hot stock or sector, encouraged by the media touting the best fund, the best stocks and the best investments for the moment.. Dalbar Financial Services of Boston has published numerous studies on the performance of mutual fund investors.. For the period 1984-2003, Dalbar reported the average return of the S P 500 Index was 12.. 2%.. Equity mutual fund investors during the period achieved an average return of 2.. 67%, less than the return of 90-day CDs during the same period.. This gap is explained by investors chasing the performance or selling at the market s lows and missing a majority of the upturn.. In another study, Brooks Hamilton audited the results of 6,000 401(k) participants in 1997.. In a year when the average equity mutual fund returned 27%, none of the 6,000 participants achieved a return of 27%.. A conservative 50/50 stock/bond portfolio would have returned 16% in 1997, yet 60% of the 6,000 participants did not achieve a return of even 16%.. Twenty percent of the participants had returns of only 4%.. Through the use of active management strategies, money managers seek investment approaches that moderate the volatility of the market, helping investors stay the course and benefit from the long-term gains of the market and improve risk adjusted returns.. The majority of the approaches used by NAAIM members rely on Technical Analysis, or the study of the movement of the market or individual investments to determine periods and asset classes with the greatest potential for increasing the value of the portfolio.. See also:.. Opportunities for Profit in Declining Markets.. Limitations of Modern Portfolio Theory..

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  • Title: NAAIM Board Of Directors
    Descriptive info: » Board Of Directors.. Bill Barack.. NAAIM Chairman.. Lindisfarne Investments, LLC.. 440-892-9956.. bill@lindisfarneinvestments.. com.. NAAIM President.. Wenning Investments, LLC.. 508-879-5009.. brenda@wenninginvestments.. Dave Moenning.. NAAIM Vice President.. Heritage Capital Management.. 303-670-9761.. dave@heritagecapitalmanagement.. Paul Schatz.. NAAIM Treasurer.. Heritage Capital, LLC.. 203-389-3553.. paul@investfortomorrow.. Malcolm Clissold.. NAAIM Secretary.. SCC Capital Group, LLC.. 615-370-1770.. mal@sccadvisor.. Jim Applegate.. Financial Services  ...   tomham@ameritech.. net.. Lee Johnson.. Lee Johnson Capital Management.. 817-738-1451.. lee@ljcm.. Ted Lundgren.. HG Capital Advisors, LLC.. 800-448-6576.. ted.. lundgren@hgadvisors.. Thomas McNally.. Wilbanks, Smith and Thomas, LLC.. 757-623-3676.. tom@wstam.. Ian Naismith.. Sarasota Capital Strategies.. 941-966-0448.. ian@etfpros.. Renee Toth.. Flexible Plan Investments, Ltd.. 248-642-6640 Ext 139.. renee@flexibleplan.. Jason Wilder.. CMG Capital Management Group Inc.. 610-989-9090.. jason@cmgfunds..

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  • Title: NAAIM Committees - NAAIM
    Descriptive info: NAAIM Committees.. » NAAIM Committees.. Agenda Committee.. Brenda Wenning:.. (617) 965-0680.. The Agenda Committee plans the NAAIM annual conference including speakers, agenda, golf and all social events.. The 2012 Uncommon Knowledge conference will be held the first week of May in Atlanta, Georgia.. The Trading Techniques CRAM Session is typically held the first week of November and the Marketing CRAM Session is held in February.. Industry Relations Committee.. Geoff Foisie:.. (703) 549-7304.. geoff.. foisie@verizon.. Frank Monte:.. (585) 425-4090.. fmonte@harborfinmail.. The purpose of the Industry Relations Committee is to further relations with regulatory bodies and investment sponsors, excluding NAAIM sponsorship activities.. The committee provides input to the membership on particular concerns or changes that the committee becomes aware of within the regulatory or investment sponsor community and coordinates responses as appropriate.. Membership Marketing and Retention Committee.. Ian Nasmith:.. (941) 966-0448.. The Membership Marketing and Retention Committee objective is to promote membership in NAAIM through recruitment of new members and retention of the existing membership base.. The committee oversees and sets procedures for following up with prospective members, including composition of the membership information mailing, letter to prospects and personal follow-up.. It also oversees the renewal process, membership director, membership mailing list and prospect list.. Membership Services and Promotion  ...   the Sponsor Relations Committee is to grow and improve existing and prospective sponsor relationships with the goal of mutual growth through symbiotic, value-added benefits for sponsors and NAAIM membership.. Sponsor relationships are developed from the myriad businesses of NAAIM members and include Service Providers (administrative, legal, software, business, marketing, advice); Investment Providers (custodial, products); and Business Alliances (brokers, record keepers, Web/Internet providers).. Benefits to sponsors and members include education and networking opportunities, web tools, product development, joint marketing and promotion of the active management industry.. Technology Committee.. Dave Moenning:.. (303) 670-9761.. The Internet Committee, created in 1997, is responsible for monitoring the design and implementation of NAAIM-related activities using the Internet.. Specific tasks include maintenance of the existing NAAIM web site, maintaining the member chat room (Adviser Exchange) and linking NAAIM to other Internet sources and references.. Adjunct activities include the creation of resource lists for member firms interested in creating their own web sites and linking to NAAIM.. Wagner Award Committee.. Greg Morris:.. (800) 222-7636.. greg.. morris@stadionmoney.. The Wagner Award is a competition for academic papers supporting the cause of active management.. The committee plans and executes the request for papers, the judging of papers submitted, and the presentations of winning papers at the Uncommon Knowledge conference..

    Original link path: /about/committees/
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  • Title: Location - NAAIM
    Descriptive info: » Location.. , #446.. Littleton, CO 80123.. 888-261-0787.. info@naaim.. org..

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  • Title: Resources - NAAIM
    Descriptive info: » Resources.. Among the benefits of NAAIM membership is access to information and tools developed by its members.. In this portion of our public site, we provide a sampling of those resources in the form of service providers who have sought out the NAAIM members, resources for regulatory information impacting active managers and some  ...   “Since day one, NAAIM has been an organization whose members view each other as colleagues rather than competitors; and therefore, everyone is willing to share freely of their knowledge and experiences.. This attitude of sharing has kept me from having to try to reinvent the wheel on numerous occasions.. â€.. - John Sosnowy, founding president..

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  • Title: Find an Advisor - NAAIM
    Descriptive info: » Find an Advisor.. Company Name:.. City :.. State :.. Select One.. Alabama.. Alaska.. Arizona.. Arkansas.. California.. Colorado.. Connecticut.. Delaware.. District Of Columbia.. Florida.. Georgia.. Hawaii.. Idaho.. Illinois.. Indiana.. Iowa.. Kansas.. Kentucky.. Louisiana.. Maine.. Maryland.. Massachusetts.. Michigan.. Minnesota.. Mississippi.. Missouri.. Montana.. Nebraska.. Nevada.. New Hampshire.. New Jersey.. New Mexico.. New York.. North Carolina.. North Dakota.. Ohio.. Oklahoma.. Oregon.. Pennsylvania.. Rhode Island.. South Carolina.. South Dakota.. Tennessee.. Texas.. Utah.. Vermont.. Virginia.. Washington.. West Virginia.. Wisconsin.. Wyoming.. The complete NAAIM membership registry is confidential and available only to NAAIM members.. To assist those individuals seeking more information on active investment management services, NAAIM has established the Find An Active Manager database.. The database includes members who have specifically requested that their information be made available to individuals seeks active managers.. NAAIM does  ...   to making an investment decision.. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.. Inherent in any investment is the potential for loss as well as the potential for gain.. Guidelines for Working with an Investment Advisor.. Do not give the manager access to your funds.. Assets should stay in an account in your name.. Always ask how the manager is compensated.. If it sounds too good to be true, it probably is too good to be true.. The greater the potential return, the greater the risk.. Read the paperwork.. If you don t understand the manager s philosophy or investing approach, don t invest.. Assume nothing.. Let the adviser earn your trust.. At the very least, make certain you receive quarterly statements directly from the brokerage firm, custodian or fund family..

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  • Title: Wagner Award - NAAIM
    Descriptive info: » Wagner Award.. FOR ADVANCES IN ACTIVE INVESTMENT MANAGEMENT.. Launched in 2009, the NAAIM Wagner Award is designed to expand awareness of active investment management techniques and the results of active strategies through the solicitation and publication of research on active management.. $10,000 is presented annually for the best paper submitted to the competition.. View the 2012 Wagner Award Submissions.. Wagner Award Archives.. Learn More About the Wagner Award and Share Your Comments.. The 2007-2008 bear market, following on the heels of the 2000-2002 decline, led many investors to question the wisdom of buy-and-hold investing, explains Jerry Wagner, a NAAIM founding member and co-chairman of the association s drive to generate academic research on the viability of active management.. NAAIM members have always believed active is better, he said.. Our competition is designed to support this position through sound research and shine the spotlight on those individuals advancing this field of study.. The 2010 and 2011 call for papers resulted in an international response, with authors from New Zealand, the Great Britain and Canada, as well as the U.. , submitting research demonstrating advancements in active investment management and it s potential.. This can be  ...   paper provides evidence of the validity of an active investing approach via an example of a trading system that outperforms the market by some well accepted metric such as risk adjusted return, annual return, drawdowns, etc.. Examples of supporting evidence sought include backtesting details and parameter sensitivity analysis.. Sufficient trading system detail should be provided such that practitioners could replicate the approach.. Other criteria used in judging will in clude the quality of exposition, analytical rigor, and novelty of results.. A jury of scholars and investment profes sionals will review entries and award the prizes.. The best paper receives the Wagner Award valued at $10,000; second place receives $3,000 and third receives $1,000.. Honorable mentions or additional monetary prizes may be awarded at the judges discretion.. In addition, the grand prizewinner will be invited to present his / her paper at the NAAIM annual conference.. Free conference attendance, domestic coach airfare and up to three nights lodging will be provided.. NAAIM is accepting contestant submissions for the 2013 Wagner Award Competition.. Deadline to Submit Papers is February 28, 2013.. CLICK HERE to download the 2013 Call for Papers, Intent to Submit form and Competition Rules..

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  • Title: Active Management Library - NAAIM
    Descriptive info: » Active Management Library.. Books.. All About Market Timing.. Leslie N.. Masonson, McGraw Hill.. 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.. Publication Name.. Date.. Article Title.. 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,  ...   these sessions are available as recordings from NAAIM).. Building on the Past: Essential Portfolio Theory and the Future of Investing.. Sector Rotation Investment Strategies Panel Presentation.. Compliance Hot Spots.. The Psychology of the Initial Client Meeting.. How to Stand the Test of Time Trading Strategies.. 7 Breakthrough Strategies to Grow Your Client Base.. Paperless Office-Panel Presentation.. The OnTrack Method.. Trading Investment Business Plans: The Key to Success.. Risk Management Using the Point Figure Methodology.. Proven Trading Techniques that Work.. An Introduction Primer to Electronic Futures.. Utilizing S P Futures for Client Accounts.. Effective use of Futures in an Advisory Practice.. The Case for Actively Managed Commodities in Client Portfolios..

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  • Title: Regulatory Contacts - NAAIM
    Descriptive info: » Regulatory Contacts.. INVESTMENT ADVISERS.. Active Managers are most often organized as an investment adviser:.. Provides advice or analysis on securities either by making direct or indirect recommendations to clients or by providing research or opinions on securities or securities markets.. Receives compensation in any form for the advice provided.. Engages in a regular business of providing advice on securities.. A good overview of the regulation of investment advisers can be found at the NASAA web site.. Investment Adviser Guide.. Organized in 1919, the.. North American Securities Administrators Association.. (NASAA) is the voice of state securities agencies responsible for efficient capital formation and grass-roots investor protection.. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries  ...   find contact information for the individual state securities administrators.. For information on the U.. Securities and Exchange Investment Adviser requirements, we recommend you visit the.. SEC s Investment Adviser.. web pages.. The following are links to materials compiled by NAAIM for its members on compliance issues.. Reporting Hypothetical Results Clover Letter.. Reporting Hypothetical Results Clover Reply Letter.. Reporting Hypothetical Results Using Backtested Results.. Reporting Hypothetical Results Clover Letter Questions.. SEC Registration Requirements.. State Registration Requirements.. NAAIM Keeps Members On Track.. Compliance is a continually evolving subject as the concerns of the regulators change to keep pace with industry issues, technology and consumer protection issues.. Through its annual conference, CRAM session, webinars and online exchanges, NAAIM provides its members with an opportunity to keep abreast of compliance issues and develop effective solutions..

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  • Archived pages: 204