decidedly different Catalyst Mutual Funds Brochure

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "decidedly different Catalyst Mutual Funds Brochure"

Transcription

1 decidedly different Catalyst Mutual Funds Brochure

2 Our Mission We strive to provide innovative strategies to support financial advisors and their clients in meeting the investment challenges of an ever changing global market environment. Catalyst Mutual Funds Overview From our founding in 2006, Catalyst Mutual Funds set out to be decidedly different. We understood that the market did not need another traditional family of mutual funds. At Catalyst we endeavor to offer unique investment products to meet the needs of discerning financial advisors and their clients. We offer a broad range of distinctive funds that offer specialized strategies seeking to produce income- and equityoriented returns while limiting risk and volatility. We offer these exclusive strategies through a team of in-house portfolio managers and boutique institutional investment management partners

3 What Sets Catalyst Apart? Catalyst s investment solutions are designed around characteristics we believe investors need to be pursuing in their portfolios: alpha focused income- and equity-oriented returns with lower correlation to the common indexes. Specialized Expertise Catalyst has brought together a team of experienced investment professionals that focus on specialized strategies including alternative, income and total return, focused equity, options overlay, global exposure, and tactical allocation. Multi-Disciplined Through our Investment Manager Partners, we provide a broad and diversified array of unique investment strategies to meet the challenging needs of investors through various market cycles. These include numerous investment styles and approaches across equity, fixed income and alternative asset classes. Modern Thinking Catalyst s seasoned investment professionals look beyond conventional wisdom to bring fresh ideas and innovative strategies to our clients. We strive to be ahead of the curve in exploiting emerging areas of opportunity to assist our clients in achieving their long-term investment goals. Proactive Management We strive to proactively manage our investments using sophisticated strategies in an attempt to generate alpha and control risk and volatility in diverse and evolving market conditions

4 Why Catalyst Mutual Funds are Different We are active managers, not closet indexers. The goal of our Funds is to generate alpha while attempting to control risk and volatility. All of our investment strategies share some common characteristics and use a number of techniques seeking to meet those goals: Seeking Catalysts We look for investments that have a catalyst that could unlock intrinsic value. Catalysts include heavy corporate insider trading, corporate actions such as acquisitions and divestitures, company management changes, shareholder activism or changes to the competitive or regulatory landscape. Focused Portfolios Our portfolios are generally concentrated with the manager s best ideas. We have conviction in our strategies. We don t use filler investments. After all, how good is your 250 th best idea? Value Oriented We seek value, focusing on the risk/return tradeoff of every investment. This includes traditional equity valuation metrics such as price/cash flow or return on equity. We also look for balance sheet strength and tangible value relative to our position in the capital structure. Risk Management We use several techniques to potentially control risk in our portfolios. These include hedging strategies such as using options and short selling, covered call writing and dynamic tactical and cash allocations. We also look at margin of safety based on underlying asset values and past trading history. Unconstrained Many of our Funds are unconstrained by market cap, geography, sector, asset class or credit rating. We can go anywhere to discover value and generate alpha. Active Share and Low Correlation Our portfolios maintain a high active share meaning they generally don t own the same securities in the same proportions as the benchmark. This can lead to performance that has lower correlation to industry benchmarks thus enhancing the diversification benefits of our Funds in client portfolios

5 Catalyst Mutual Fund Lineup HEDGED STRATEGIES Catalyst Absolute Total Return Fund Seeks to provide maximum risk-adjusted total return by investing in instruments with sustainable and rising income streams while using hedging strategies in an attempt to manage risk and reduce the impact of market volatility. Catalyst Event Arbitrage Fund Seeks low correlation and low volatility through a hedged portfolio focused on merger and event arbitrage transactions. Catalyst Hedged Futures Strategy Fund Seeks to provide positive returns in all market conditions with low volatility and low correlation to the equity markets by investing in options and option spreads on equity index futures contracts. Catalyst Hedged Insider Buying Fund All-cap equity portfolio driven by corporate insider buying research and hedged with put options and call options on equity indexes. Catalyst Insider Long/Short Fund Market neutral long/short equity with long positions in companies with significant corporate insider buying activity and short positions in companies with significant corporate insider selling. Catalyst Macro Strategy Fund Seeks to offer the potential to realize positive returns in all market conditions, participating in the upside of the equity markets while seeking to minimize the downside during periods of extreme market stress. Catalyst Time Value Trading Fund Writes short-term call and put options on S&P 500 Index futures, with the goal of generating income from options that expire worthless, and invests in opportunistic long positions for hedging and incremental return. Catalyst/Lyons Hedged Premium Return Fund Seeks exposure to equities with low volatility and low correlation to the equity market by overlaying an option strategy with the objective of generating premium income and hedging a portion of the downside risk. DYNAMIC EQUITY Catalyst Dynamic Alpha Fund All-cap equity portfolio using a focused quantitative methodology to select alpha generating stocks from outperforming industries. Catalyst/Lyons Tactical Allocation Fund Seeks capital appreciation with downside protection through a portfolio of dividend paying stocks with a tactical risk-management overlay. GLOBAL OPPORTUNITIES Catalyst/MAP Global Capital Appreciation Fund Focused portfolio of value oriented global equities selected using thematic filters with opportunistic covered call writing. Catalyst/MAP Global Total Return Income Fund Focused go anywhere total return strategy using corporate bonds and global equities selected using thematic filters with opportunistic covered call writing. There is no assurance that a Fund will achieve its investment objective STRATEGIC INCOME Catalyst Insider Income Fund Seeks to offer investors an opportunity to invest in short-term U.S. corporate bonds issued by corporations whose executives are purchasing shares of the company s common stock. Catalyst/Princeton Floating Rate Income Fund Seeks current income with low duration and interest rate volatility through a portfolio of senior floating rate loans. Catalyst/Princeton Hedged Income Fund Seeks stable income with a focus on total return by strategically investing in fixed income securities while hedging short-term market volatility, credit and interest rate risks. Catalyst/SMH High Income Fund Focused high yield bond fund using a deep value, balance sheet oriented, intensive research strategy. Catalyst/SMH Total Return Income Fund Diverse mix of income producing securities including high yield bonds, convertible bonds, REITs, high dividend paying stocks, Business Development Companies, MLPs and covered call writing. Catalyst/Stone Beach Income Opportunity Fund Seeks high current income and capital appreciation from a portfolio of mortgage-backed securities ("MBS") while actively hedging to minimize declines during adverse market conditions. FOCUSED EQUITY Catalyst Activist Investor Fund Seeks to capture similar gains as those realized by successful activist investors by selectively investing in companies experiencing significant activist investor activity. Catalyst Insider Buying Fund Large-cap equity focused on companies with significant insider buying. Catalyst MLP & Infrastructure Fund Invests in equity securities of general partners ("GPs") of master limited partnerships ("MLPs") and other energy-related companies, seeking to realize faster growth and higher distributions than traditional MLPs. Catalyst Small-Cap Insider Buying Fund Small/micro-cap equity focused on companies with significant insider buying. Catalyst/EquityCompass Buyback Strategy Fund All-cap equity that seeks to exploit the potential excess returns from share buyback announcements. Catalyst/Groesbeck Aggressive Growth Fund Seeks to invest in companies with higher growth rates than the S&P 500 Index. Catalyst/Groesbeck Growth of Income Fund Equity income fund investing in high quality large cap stocks with a history of dividend increases.

6 Catalyst Investment Manager Partners We have brought together an exceptional team of portfolio managers from hedge funds, investment banks and institutional investment managers to deliver their investment strategies under our shared mutual fund platform. Our investment managers typically have long-term investment track records serving institutional, family office and private clients. By taking advantage of our shared mutual fund distribution and administration platform, our investment managers can focus their time and attention on delivering superior investment results for clients. Catalyst s Investment Manager Partners model allows us to offer a broad array of institutional quality investment strategies, unconstrained by the expertise of just a single investment firm. Investment Manager Catalyst Capital Advisors LLC Huntington, NY. Founded 2006 ATR Advisors Fairfield, CT. Founded 2003 Cookson, Peirce & Company, Inc. Pittsburgh, PA. Founded 1984 EquityCompass Strategies Baltimore, MD. Founded 2007 Groesbeck Investment Management, Inc. Paramus, NJ. Founded 1993 ITB Capital Advisors LLC Lakeland, FL. Founded 2005 Lyons Wealth Management, LLC Winter Park, FL. Founded 2009 Managed Asset Portfolios, LLC Rochester, MI. Founded 2000 Princeton Advisory Group, Inc. Kingston, NJ. Founded 2002 SL Advisors, LLC Westfield, NJ. Founded 2009 SMH Capital Advisors, Inc. Fort Worth, TX. Founded 1996 Stone Beach Investment Management LLC Norwalk, CT. Founded 2007 Catalyst Funds Managed Catalyst Activist Investor Fund Catalyst Event Arbitrage Fund Catalyst Hedged Futures Strategy Fund Catalyst Hedged Insider Buying Fund Catalyst Insider Buying Fund Catalyst Insider Income Fund Catalyst Insider Long/Short Fund Catalyst Macro Strategy Fund Catalyst Small-Cap Insider Buying Fund Catalyst Absolute Total Return Fund Catalyst Dynamic Alpha Fund Catalyst/EquityCompass Buyback Strategy Fund Catalyst/Groesbeck Aggressive Growth Fund Catalyst/Groesbeck Growth of Income Fund Catalyst Time Value Trading Fund Catalyst/Lyons Tactical Allocation Fund Catalyst/Lyons Hedged Premium Return Fund Catalyst/MAP Global Capital Appreciation Fund Catalyst/MAP Global Total Return Income Fund Catalyst/Princeton Floating Rate Income Fund Catalyst/Princeton Hedged Income Fund Catalyst MLP & Infrastructure Fund Catalyst/SMH High Income Fund Catalyst/SMH Total Return Income Fund Catalyst/Stone Beach Income Opportunity Fund - 5 -

7 Glossary Alpha: A measure of a fund's excess returns relative to the returns of its benchmark, given its level of risk as measured by beta. Beta: A measure of a fund's sensitivity to market movements relative to its benchmark. R-squared / Correlation: A measure of the relationship between a portfolio and its benchmark. Standard Deviation: A statistical measurement that shows historical volatility. Sell Short: Any sale that is completed by the delivery of a security borrowed by the seller. Short sellers attempt to buy back the security at a lower price than at which they sold it short. Covered Call: An options strategy whereby an investor holds a long position in an asset and writes (sells) call options on that asset in an attempt to generate increased income and reduced volatility. Arbitrage: A strategy that seeks to profit by capturing the difference between a securities current price and the final closing price of a corporate transaction. Important Disclosures: There is no assurance that a Fund will achieve its investment objective. Investors should carefully consider the investment objectives, risks, charges and expenses of the Catalyst Funds. This and other important information about the Catalyst Funds is contained in the prospectus. The prospectus should be read carefully before investing and can be obtained by calling or at Investments in foreign securities could be subject to greater risks including currency fluctuation, economic conditions, and different governmental and accounting standards. Investments in high yield or junk bonds present a greater risk than bonds of higher quality. Floating Rate Loans are subject to credit, interest rate and liquidity risks. If a security sold short increases in price, the investment may have to cover its short position at a higher price than the short sale price, resulting in a loss. There are risks associated with the sale and purchase of call and put options. Hedging may not protect full value of the portfolio and may be cause of additional costs and risks to the fund. The Catalyst Funds are distributed by Northern Lights Distributors, LLC, member FINRA. Neither Catalyst Capital Advisors LLC nor any of its Investment Management Partners are affiliated with Northern Lights Distributors, LLC NLD-3/2/

8 every portfolio needs a catalyst decidedly different non-correlated modern hedged Catalyst Capital Advisors LLC 36 New York Avenue Floor 2 Huntington, NY Shareholder Services: (866) Advisor Services: (646)

decidedly different Catalyst Mutual Funds Investor Overview

decidedly different Catalyst Mutual Funds Investor Overview decidedly different Catalyst Mutual s Investor Overview Our Mission We strive to provide innovative strategies to support financial advisors and their clients in meeting the investment challenges of an

More information

decidedly different Catalyst Mutual Funds Investor Overview

decidedly different Catalyst Mutual Funds Investor Overview decidedly different Catalyst Mutual Funds Investor Overview Our Mission We strive to provide innovative strategies to support financial advisors and their clients in meeting the investment challenges of

More information

Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2

Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2 Catalyst Small-Cap Insider Buying Fund CTVAX, CTVCX & CTVIX 2015 Q2 About Catalyst Funds Intelligent Alternatives We strive to provide innovative strategies to support financial advisors and their clients

More information

Portfolio Management Consultants Perfecting the Portfolio

Portfolio Management Consultants Perfecting the Portfolio Portfolio Management Consultants Perfecting the Portfolio Envestnet PMC is the ultimate advisor to the advisor. Our goal is to help advisors strengthen relationships with their clients and improve outcomes

More information

EQUINOX ANNOUNCES LAUNCH OF EQUINOX EQUITYHEDGE U.S. STRATEGY FUND A DYNAMICALLY-HEDGED, ACTIVELY MANAGED EQUITY MUTUAL FUND

EQUINOX ANNOUNCES LAUNCH OF EQUINOX EQUITYHEDGE U.S. STRATEGY FUND A DYNAMICALLY-HEDGED, ACTIVELY MANAGED EQUITY MUTUAL FUND EQUINOX ANNOUNCES LAUNCH OF EQUINOX EQUITYHEDGE U.S. STRATEGY FUND A DYNAMICALLY-HEDGED, ACTIVELY MANAGED EQUITY MUTUAL FUND PRINCETON, NJ, October 2, 2013 Equinox Financial Group, LLC ( Equinox ), a leading

More information

Catalyst Macro Strategy Fund

Catalyst Macro Strategy Fund Catalyst Macro Strategy Fund MCXAX, MCXCX & MCXIX 2015 Q2 About Catalyst Funds Intelligent Alternatives We strive to provide innovative strategies to support financial advisors and their clients in meeting

More information

Catalyst Dynamic Alpha Fund CPEAX, CPECX & CPEIX 2015 Q2

Catalyst Dynamic Alpha Fund CPEAX, CPECX & CPEIX 2015 Q2 Catalyst Dynamic Alpha Fund CPEAX, CPECX & CPEIX 2015 Q2 Risk Considerations Investors should carefully consider the investment objectives, risks, charges and expenses of the Catalyst Funds. This and other

More information

Lazard Asset Management An Overview

Lazard Asset Management An Overview Lazard Asset Management An Overview Founded in 1848, Lazard has long served as a trusted advisor to governments, businesses, and individuals around the world. With an international presence that dates

More information

Why Anfield s Universal Fixed Income Fund?

Why Anfield s Universal Fixed Income Fund? Why Anfield s Universal Fixed Income Fund? Disclosure Investors should carefully consider the investment objectives, risks, charges and expenses of the Anfield Universal Fixed Income Fund. This and other

More information

IndexIQ. Smart solutions for better portfolios. by MainStay Investments

IndexIQ. Smart solutions for better portfolios. by MainStay Investments IndexIQ Smart solutions for better portfolios by MainStay Investments An Innovative Marriage of ETFs and Alternative Investments In recent years, exchange-traded funds (ETFs) have steadily grown in popularity.

More information

INVESTING MADE SIMPLE

INVESTING MADE SIMPLE Investing Fundamentals INVESTING MADE SIMPLE AN EDUCATIONAL GUIDE FOR EVERY INVESTOR. INVEST WITH CONFIDENCE. HuntingtonFunds.com 1 1 Your Guide to the Basics of Investing Through Mutual Funds Mutual funds

More information

Global Hedged Growth and Income Strategy

Global Hedged Growth and Income Strategy Global Hedged Growth and Income Strategy Deliberate, Purposeful Investing January, 2014 www.partnervest.com 1 STAR Wealth Partners is a seasoned wealth management team with expertise in Global/US Hedged

More information

Interest Rates and Inflation: How They Might Affect Managed Futures

Interest Rates and Inflation: How They Might Affect Managed Futures Faced with the prospect of potential declines in both bonds and equities, an allocation to managed futures may serve as an appealing diversifier to traditional strategies. HIGHLIGHTS Managed Futures have

More information

CALVERT UNCONSTRAINED BOND FUND A More Expansive Approach to Fixed-Income Investing

CALVERT UNCONSTRAINED BOND FUND A More Expansive Approach to Fixed-Income Investing CALVERT UNCONSTRAINED BOND FUND A More Expansive Approach to Fixed-Income Investing A Challenging Environment for Investors MOVING BEYOND TRADITIONAL FIXED-INCOME INVESTING ALONE For many advisors and

More information

Asset Management Portfolio Solutions Disciplined Process. Customized Approach. Risk-Based Strategies.

Asset Management Portfolio Solutions Disciplined Process. Customized Approach. Risk-Based Strategies. INSTITUTIONAL TRUST & CUSTODY Asset Management Portfolio Solutions Disciplined Process. Customized Approach. Risk-Based Strategies. As one of the fastest growing investment managers in the nation, U.S.

More information

Changes to the OklahomaDream 529 Plan

Changes to the OklahomaDream 529 Plan Supplement dated December 31, 2015 to Oklahoma Dream Advisor Sold 529 Program Plan Disclosure Statement for Investors Using a Financial Advisor (Classes A and C) Dated November 3, 2014 This Supplement

More information

PowerShares Smart Beta Income Portfolio 2016-1 PowerShares Smart Beta Growth & Income Portfolio 2016-1 PowerShares Smart Beta Growth Portfolio 2016-1

PowerShares Smart Beta Income Portfolio 2016-1 PowerShares Smart Beta Growth & Income Portfolio 2016-1 PowerShares Smart Beta Growth Portfolio 2016-1 PowerShares Smart Beta Income Portfolio 2016-1 PowerShares Smart Beta Growth & Income Portfolio 2016-1 PowerShares Smart Beta Growth Portfolio 2016-1 The unit investment trusts named above (the Portfolios

More information

With interest rates at historically low levels, and the U.S. economy showing continued strength,

With interest rates at historically low levels, and the U.S. economy showing continued strength, Managing Interest Rate Risk in Your Bond Holdings THE RIGHT STRATEGY MAY HELP FIXED INCOME PORTFOLIOS DURING PERIODS OF RISING INTEREST RATES. With interest rates at historically low levels, and the U.S.

More information

Exchange Traded Funds A Brief Introduction

Exchange Traded Funds A Brief Introduction Exchange Traded Funds A Brief Introduction spdrs.com What You Need to Know about ETFs ETF Basics Potential Benefits of ETFs ETFs versus Mutual Funds The Role of ETFs in Your Portfolio Our Next Steps Frequently

More information

Wealth Management Solutions

Wealth Management Solutions Wealth Management Solutions Invest in the Future Life has significant moments. Making sure you re prepared for them is important. But what can you do when the pace of your life leaves you little time to

More information

Mortgage and Asset Backed Securities Investment Strategy

Mortgage and Asset Backed Securities Investment Strategy Mortgage and Asset Backed Securities Investment Strategy Traditional fixed income has enjoyed an environment of falling interest rates over the past 30 years. Average of 10 & 30 Year Treasury Yields (1981

More information

About Hedge Funds. What is a Hedge Fund?

About Hedge Funds. What is a Hedge Fund? About Hedge Funds What is a Hedge Fund? A hedge fund is a fund that can take both long and short positions, use arbitrage, buy and sell undervalued securities, trade options or bonds, and invest in almost

More information

Strategic Focus: High Dividend Stock Strategy

Strategic Focus: High Dividend Stock Strategy Strategic Focus: High Dividend Stock Strategy September 2011 333 South Grand Avenue, Los Angeles, CA 90071 WHY ARE HIGH DIVIDEND STOCKS APPEALING? I Support from Robust Corporate Profits and Improving

More information

Investing in Alternatives. Help optimize your portfolio with non-traditional solutions.

Investing in Alternatives. Help optimize your portfolio with non-traditional solutions. Investing in Alternatives. Help optimize your portfolio with non-traditional solutions. Eagle Strategies LLC is an investment adviser registered with the Securities and Exchange Commission and is notice

More information

The Master Statement of Investment Policies and Objectives of The Lower Colorado River Authority Retirement Plan and Trust. Amended June 16, 2015

The Master Statement of Investment Policies and Objectives of The Lower Colorado River Authority Retirement Plan and Trust. Amended June 16, 2015 The Master Statement of Investment Policies and Objectives of The Lower Colorado River Authority Retirement Plan and Trust Amended June 16, 2015 Introduction The Lower Colorado River Authority ( LCRA )

More information

Russell Funds Russell Tax Exempt Bond Fund Money Manager and Russell Overview September 2015

Russell Funds Russell Tax Exempt Bond Fund Money Manager and Russell Overview September 2015 Money Manager and Russell Overview September 2015 Russell s investment approach Russell uses a multi-asset approach to investing, combining asset allocation, manager selection and ongoing portfolio management

More information

Investment Portfolio Management and Effective Asset Allocation for Institutional and Private Banking Clients

Investment Portfolio Management and Effective Asset Allocation for Institutional and Private Banking Clients Investment Portfolio Management and Effective Asset Allocation for Institutional and Private Banking Clients www.mce-ama.com/2396 Senior Managers Days 4 www.mce-ama.com 1 WHY attend this programme? This

More information

INCOME IN ALL MARKETS COLUMBIA STRATEGIC INCOME FUND Class A COSIX Class C CLSCX Class R CSNRX Class R4 CMNRX Class R5 CTIVX Class Z LSIZX

INCOME IN ALL MARKETS COLUMBIA STRATEGIC INCOME FUND Class A COSIX Class C CLSCX Class R CSNRX Class R4 CMNRX Class R5 CTIVX Class Z LSIZX INCOME IN ALL MARKETS COLUMBIA STRATEGIC INCOME FUND Class A COSIX Class C CLSCX Class R CSNRX Class R4 CMNRX Class R5 CTIVX Class Z LSIZX NAVIGATING A CHANGING INTEREST RATE ENVIRONMENT Rise to the challenge

More information

Retirement Balanced Fund

Retirement Balanced Fund SUMMARY PROSPECTUS TRRIX October 1, 2015 T. Rowe Price Retirement Balanced Fund A fund designed for retired investors seeking capital growth and income through investments in a combination of T. Rowe Price

More information

NorthCoast Investment Advisory Team 203.532.7000 info@northcoastam.com

NorthCoast Investment Advisory Team 203.532.7000 info@northcoastam.com NorthCoast Investment Advisory Team 203.532.7000 info@northcoastam.com NORTHCOAST ASSET MANAGEMENT An established leader in the field of tactical investment management, specializing in quantitative research

More information

American Funds Insurance Series Portfolio Series. Prospectus May 1, 2015. American Funds Managed Risk Global Allocation Portfolio

American Funds Insurance Series Portfolio Series. Prospectus May 1, 2015. American Funds Managed Risk Global Allocation Portfolio American Funds Insurance Series Portfolio Series Prospectus May 1, 2015 Class 4 shares American Funds Global Growth Portfolio American Funds Growth and Income Portfolio Class P2 shares American Funds Managed

More information

UNDERSTANDING CLOSED-END FUNDS

UNDERSTANDING CLOSED-END FUNDS Lessons in Investing for Income UNDERSTANDING CLOSED-END FUNDS Income is one of investors most common goals but one not easily achieved, especially in today s low-yielding environment. That s why investors

More information

TD Mutual Funds Fund Profiles

TD Mutual Funds Fund Profiles TD Mutual Funds Fund Profiles U.S. Equity Funds TD North American Dividend Fund TD U.S. Blue Chip Equity Fund TD U. S. Quantitative Equity Fund TD U.S. Large-Cap Value Fund TD U.S. Large-Cap Value Currency

More information

Important Information about a Fund of Hedge Funds

Important Information about a Fund of Hedge Funds Robert W. Baird & Co. Incorporated Important Information about a Fund of Hedge Funds Fund of Hedge Fund Investing at Baird Baird offers eligible clients the opportunity to invest in funds of hedge funds

More information

Unified Managed Accounts An Investor s Guide

Unified Managed Accounts An Investor s Guide Briefing Unified managed accounts provide a consolidated approach to asset allocation, investment selection, account administration and performance reporting. Unified Managed Accounts An Investor s Guide

More information

WHY FLEXSHARES? Based on Understanding. Built on Experience.

WHY FLEXSHARES? Based on Understanding. Built on Experience. WHY FLEXSHARES? Based on Understanding. Built on Experience. BASED ON UNDERSTANDING Most exchange traded funds (ETFs) are designed to track indexes. You invest for a reason, though and need to accomplish

More information

www.optionseducation.org OIC Options on ETFs

www.optionseducation.org OIC Options on ETFs www.optionseducation.org Options on ETFs 1 The Options Industry Council For the sake of simplicity, the examples that follow do not take into consideration commissions and other transaction fees, tax considerations,

More information

INVESTMENT TERM GLOSSARY

INVESTMENT TERM GLOSSARY A Accrued Interest - Interest that has been earned but not yet credited to a bond or other fixed-income investment, such as a certificate of deposit. Active Management The use of professional investment

More information

Prospectus Socially Responsible Funds

Prospectus Socially Responsible Funds Prospectus Socially Responsible Funds Calvert Social Investment Fund (CSIF) Balanced Portfolio Equity Portfolio Enhanced Equity Portfolio Bond Portfolio Money Market Portfolio Calvert Social Index Fund

More information

Enjoy the Benefits of Professional Wealth Management Quantitative InnovationsSM Investment Advisory Program

Enjoy the Benefits of Professional Wealth Management Quantitative InnovationsSM Investment Advisory Program Enjoy the Benefits of Professional Wealth Management Quantitative InnovationsSM Investment Advisory Program As an individual investor, you have access to more investment options than ever. With these choices,

More information

Catalyst Insider Buying Fund INSAX INSCX INSIX

Catalyst Insider Buying Fund INSAX INSCX INSIX Investor Presentation 4Q2014 Website: www.catalystmf.com Phone: 646-827-2761 E-mail: info@catalystmf.com Catalyst Insider Buying Fund INSAX INSCX INSIX Client Approved See Slide 9 for Standard Performance

More information

PIONEER ADVISORY: Pioneer Absolute Return Credit Fund Name Change

PIONEER ADVISORY: Pioneer Absolute Return Credit Fund Name Change May 2013 PIONEER ADVISORY: Pioneer Absolute Return Credit Fund Name Change Effective June 17, 2013, the Fund s name will change to Pioneer Dynamic Credit Fund. It should be noted that the Fund s portfolio

More information

A strategic, multisector approach to fixed-income investing

A strategic, multisector approach to fixed-income investing Alternative Solutions Forward Credit Analysis Long/Short Fund A strategic, multisector approach to fixed-income investing Is it time to adapt your fixed-income approach? Today s fixed-income investors

More information

Guide to mutual fund investing. Start with the basics

Guide to mutual fund investing. Start with the basics Guide to mutual fund investing Start with the basics Pursue your financial goals Why do you invest? For a rainy day? A secure retirement? Funding a college tuition? Having a specific goal in mind will

More information

Concentrated Stock Overlay INCREMENTAL INCOME FROM CONCENTRATED WEALTH

Concentrated Stock Overlay INCREMENTAL INCOME FROM CONCENTRATED WEALTH Concentrated Stock Overlay INCREMENTAL INCOME FROM CONCENTRATED WEALTH INTRODUCING RAMPART CONCENTRATED STOCK OVERLAY STRATEGY When a portfolio includes a concentrated equity position, the risk created

More information

WELCOME TO STA Wealth Management

WELCOME TO STA Wealth Management WELCOME TO STA Wealth Management Since the founding of STA Wealth Management in 2002 by experienced financial industry executives in Houston, Texas, we have focused on delivering comprehensive portfolio

More information

Insurance Dedicated Funds: Variable Insurance Trusts

Insurance Dedicated Funds: Variable Insurance Trusts At a Glance September 2015 Insurance Dedicated Funds: Variable Insurance Trusts Our goal at GSAM is to meet the financial goals of investors worldwide, now and in the future, with innovative investment

More information

An Attractive Income Option for a Strategic Allocation

An Attractive Income Option for a Strategic Allocation An Attractive Income Option for a Strategic Allocation Voya Senior Loans Suite A strategic allocation provides potential for high and relatively steady income through most credit and rate cycles Improves

More information

Important Information about Closed-End Funds and Unit Investment Trusts

Important Information about Closed-End Funds and Unit Investment Trusts Robert W. Baird & Co. Incorporated Important Information about Closed-End Funds and Unit Investment Trusts Baird has prepared this document to help you understand the characteristics and risks associated

More information

A Guide To DEFINED FOCUSED DISCIPLINED

A Guide To DEFINED FOCUSED DISCIPLINED A Guide To F I R S T T R U S T U N I T I N V E S T M E N T T R U S T S DEFINED FOCUSED DISCIPLINED W H A T I S A U N I T I N V E S T M E N T T R U S T? U I T F E A T U R E S A unit investment trust or

More information

Absolute return strategies offer modern diversification

Absolute return strategies offer modern diversification February 2015» White paper Absolute return strategies offer modern diversification Key takeaways Absolute return differs from traditional stock and bond investing. Absolute return seeks to reduce market

More information

Access. Access Equity Investments. Alternative Assets. Access Alternative Strategies. Access. Fixed Income AAA... BBB+... CCC... Alternative Assets

Access. Access Equity Investments. Alternative Assets. Access Alternative Strategies. Access. Fixed Income AAA... BBB+... CCC... Alternative Assets Building Blocks for Today s Portfolios Gain access to a broad range of investment options through this customizable variable annuity investment platform. With a robust offering of equity investments, fixed

More information

Morningstar Highlights

Morningstar Highlights Morningstar Highlights Second quarter Data as of June 30, 2015 Invesco offers funds that have competitive performance relative to their peers across most style boxes. Below are Invesco funds with four-

More information

I.A.M. National 401(k) Plan. Investment Options Summary

I.A.M. National 401(k) Plan. Investment Options Summary I.A.M. National 401(k) Plan Investment Options Summary The I.A.M. National 401(k) Plan offers a diverse investment lineup to meet the varied needs of our participants. The lineup includes 12 Retirement

More information

A fixed-income fund for all markets. MainStay Unconstrained Bond Fund

A fixed-income fund for all markets. MainStay Unconstrained Bond Fund A fixed-income fund for all markets MainStay Unconstrained Bond Fund * A leader in fixed-income investing MacKay Shields has over 40 years of experience helping clients with their investment objectives.

More information

Evolving your fixed income strategy

Evolving your fixed income strategy Evolving your fixed income strategy 3Q 2015 INVESTMENT INSIGHTS NOT FDIC INSURED NO BANK GUARANTEE MAY LOSE VALUE PLEASE VISIT jpmorganfunds.com for access to all of our Insights publications. Opportunities

More information

SOLUTIONS FOR REGISTERED INVESTMENT ADVISORS

SOLUTIONS FOR REGISTERED INVESTMENT ADVISORS SOLUTIONS FOR REGISTERED INVESTMENT ADVISORS Delivering customized investment solutions and strategies to sophisticated fiduciaries and intermediaries For Use with Financial Professionals Only. Not for

More information

Modernizing Portfolio Theory & The Liquid Endowment UMA

Modernizing Portfolio Theory & The Liquid Endowment UMA Modernizing Portfolio Theory & The Liquid Endowment UMA Michael Featherman, CFA Director of Portfolio Strategies November 2012 Modern Portfolio Theory Definition and Key Concept Modern Portfolio Theory

More information

Russell Funds Russell Commodity Strategies Fund Money Manager and Russell Investments Overview June 2016. Russell Investments approach

Russell Funds Russell Commodity Strategies Fund Money Manager and Russell Investments Overview June 2016. Russell Investments approach Money Manager and Russell Investments Overview June 206 Russell Investments approach Russell Investments uses a multi-asset approach to investing, combining asset allocation, manager selection and ongoing

More information

Glossary of Investment Terms

Glossary of Investment Terms online report consulting group Glossary of Investment Terms glossary of terms actively managed investment Relies on the expertise of a portfolio manager to choose the investment s holdings in an attempt

More information

PERFORMING DUE DILIGENCE ON NONTRADITIONAL BOND FUNDS. by Mark Bentley, Executive Vice President, BTS Asset Management, Inc.

PERFORMING DUE DILIGENCE ON NONTRADITIONAL BOND FUNDS. by Mark Bentley, Executive Vice President, BTS Asset Management, Inc. PERFORMING DUE DILIGENCE ON NONTRADITIONAL BOND FUNDS by Mark Bentley, Executive Vice President, BTS Asset Management, Inc. Investors considering allocations to funds in Morningstar s Nontraditional Bond

More information

Holding the middle ground with convertible securities

Holding the middle ground with convertible securities January 2015» White paper Holding the middle ground with convertible securities Eric N. Harthun, CFA Portfolio Manager Robert L. Salvin Portfolio Manager Key takeaways Convertible securities are an often-overlooked

More information

I.A.M. National 401(k) Plan. Investment Options Summary

I.A.M. National 401(k) Plan. Investment Options Summary I.A.M. National 401(k) Plan Investment Options Summary The I.A.M. National 401(k) Plan offers a diverse investment lineup to meet the varied needs of our participants. The lineup includes 12 Retirement

More information

Exchange Traded Funds A Brief Introduction

Exchange Traded Funds A Brief Introduction Exchange Traded Funds A Brief Introduction 1 What You Need to Know about ETFs 2 ETF Basics Benefits of ETFs ETFs vs. Mutual Funds The Role of ETFs in Your Portfolio Our Next Steps Appendix: FAQs 3 ETF

More information

NorthStar Asset Management Group Inc. New York Office. Harness the Benefits of Real Estate Lending

NorthStar Asset Management Group Inc. New York Office. Harness the Benefits of Real Estate Lending NorthStar Asset Management Group Inc. New York Office Harness the Benefits of Real Estate Lending Forward Looking Statements This sales material includes forward-looking statements that can be identified

More information

UMA Model Portfolios Professional Advice for Your Unified Managed Account

UMA Model Portfolios Professional Advice for Your Unified Managed Account UMA Model Portfolios Professional Advice for Your Unified Managed Account B The introduction of unified managed accounts has helped many investors to consolidate and streamline their investment portfolios.

More information

SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC. Signature Allocation Series Signature Elite

SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC. Signature Allocation Series Signature Elite SEIA SIGNATURE ESTATE & INVESTMENT ADVISORS, LLC Signature Allocation Series Signature Elite ABOUT SEIA Successful wealth management is the result of an ongoing collaboration between investor and advisor,

More information

Deutsche Alternative Asset Allocation VIP

Deutsche Alternative Asset Allocation VIP Alternative Deutsche Alternative Asset Allocation VIP All-in-one exposure to alternative asset classes : a key piece in asset allocation Building a portfolio of stocks, bonds and cash has long been recognized

More information

Master Limited Partnerships (MLPs):

Master Limited Partnerships (MLPs): Master Limited Partnerships (MLPs): Frequently Asked Questions Yorkville Capital Management LLC www.yorkvillecapital.com 950 Third Avenue, 23 rd Floor New York, NY 10022 (212) 755-1970 Table of Contents

More information

Pioneer Funds. Supplement to the Summary Prospectuses, as in effect and as may be amended from time to time, for: May 1, 2015

Pioneer Funds. Supplement to the Summary Prospectuses, as in effect and as may be amended from time to time, for: May 1, 2015 Pioneer Funds May 1, 2015 Supplement to the Summary Prospectuses, as in effect and as may be amended from time to time, for: Fund Pioneer Absolute Return Bond Fund Pioneer AMT-Free Municipal Fund Pioneer

More information

Objective: Avoiding Market Declines*

Objective: Avoiding Market Declines* INVESTOR PRESENTATION DYNAMIC FIXED INCOME PORTFOLIOS Objective: Avoiding Market Declines* Toews 1750 Zion Road, Suite 201 Northfield, NJ 08225 TL (877) 863-9726 www.toewscorp.com *There can be no assurance

More information

FREQUENTLY ASKED QUESTIONS March 2015

FREQUENTLY ASKED QUESTIONS March 2015 FREQUENTLY ASKED QUESTIONS March 2015 Table of Contents I. Offering a Hedge Fund Strategy in a Mutual Fund Structure... 3 II. Fundamental Research... 4 III. Portfolio Construction... 6 IV. Fund Expenses

More information

An Alternative to Fixed Rate Bonds

An Alternative to Fixed Rate Bonds An Alternative to Fixed Rate Bonds Voya Senior Loans Suite offered by Aston Hill Financial Seeks to pay high income in various rate environments One of the world s largest dedicated senior loan teams Five

More information

Investor Guide Wells Fargo Advantage Absolute Return Fund. Explore a nontraditional approach to asset allocation

Investor Guide Wells Fargo Advantage Absolute Return Fund. Explore a nontraditional approach to asset allocation Investor Guide Wells Fargo Advantage Absolute Return Fund Explore a nontraditional approach to asset allocation Is it time to consider a nontraditional approach to investing? The fund s strategy has allowed

More information

PNC Target Date Funds. Making Saving for Retirement Simpler for You

PNC Target Date Funds. Making Saving for Retirement Simpler for You PNC Target Date Funds Making Saving for Retirement Simpler for You Walking With You on the Path to Retirement We understand that with the number and variety of retirement savings options available to you,

More information

The Morningstar Category TM Classifications for Hedge Funds

The Morningstar Category TM Classifications for Hedge Funds The Morningstar Category TM Classifications for Hedge Funds Morningstar Methodology Paper Effective April 30, 2012 Contents Introduction 4 Directional Equity Asia/Pacific Long/Short Equity Bear-Market

More information

Blackstone Alternative Alpha Fund II (BAAF II) Advisor Class III Shares

Blackstone Alternative Alpha Fund II (BAAF II) Advisor Class III Shares Blackstone Alternative Alpha Fund II (BAAF II) Advisor Class III Shares Blackstone For Accredited Investors Only As of November 30th, 2015 Investment approach Blackstone Alternative Alpha Fund II ( BAAF

More information

Market Linked Certificates of Deposit

Market Linked Certificates of Deposit Market Linked Certificates of Deposit This material was prepared by Wells Fargo Securities, LLC, a registered brokerdealer and separate non-bank affiliate of Wells Fargo & Company. This material is not

More information

ETF Evolution: The Innovation of Exchange-Traded Funds

ETF Evolution: The Innovation of Exchange-Traded Funds Strategic Advisory Solutions September 2015 ETF Evolution: The Innovation of Exchange-Traded Funds Executive Summary Exchange-traded funds (ETFs) are investment funds traded on stock exchanges, much like

More information

A Behavioral Research Approach to Portfolio Management. AdvisorShares Athena High Dividend ETF. Sub-Advised by AthenaInvest Advisors, LLC

A Behavioral Research Approach to Portfolio Management. AdvisorShares Athena High Dividend ETF. Sub-Advised by AthenaInvest Advisors, LLC A Behavioral Research Approach to Portfolio Management AdvisorShares Athena High Dividend ETF Sub-Advised by AthenaInvest Advisors, LLC Disclosures There is no guarantee that the Fund will achieve its

More information

Commodities Portfolio Approach

Commodities Portfolio Approach Commodities Portfolio Approach Los Angeles Fire and Police Pension System February 2012 Summary The Board approved a 5% allocation to Commodities, representing approximately $690 million of the $13.75

More information

Advanced Strategies for Managing Volatility

Advanced Strategies for Managing Volatility Advanced Strategies for Managing Volatility Description: Investment portfolios are generally exposed to volatility through company-specific risk and through market risk. Long-term investors can reduce

More information

LVIP Dimensional Non-U.S. Equity RPM Fund. Summary Prospectus April 30, 2013

LVIP Dimensional Non-U.S. Equity RPM Fund. Summary Prospectus April 30, 2013 LVIP Dimensional Non-U.S. Equity RPM Fund (formerly LVIP Dimensional Non-U.S. Equity Fund) (Standard and Service Class) Summary Prospectus April 30, 2013 Before you invest, you may want to review the Fund

More information

Investment Objective. Expense Example

Investment Objective. Expense Example The Gabelli ABC Fund A series of Gabelli Investor Funds, Inc. SUMMARY PROSPECTUS April 29, 2016 Class AAA (GABCX), Advisor Class (GADVX) Before you invest, you may want to review the Fund s Prospectus

More information

Dartmouth College Endowment Investment Policy Statement Updated August 2013

Dartmouth College Endowment Investment Policy Statement Updated August 2013 Introduction and Purpose of the Endowment This Investment Policy Statement ( IPS ) applies to the endowment of Dartmouth College (the College ), referred to throughout this document as the Total Return

More information

ADVISORSHARES YIELDPRO ETF (NASDAQ Ticker: YPRO) SUMMARY PROSPECTUS November 1, 2015

ADVISORSHARES YIELDPRO ETF (NASDAQ Ticker: YPRO) SUMMARY PROSPECTUS November 1, 2015 ADVISORSHARES YIELDPRO ETF (NASDAQ Ticker: YPRO) SUMMARY PROSPECTUS November 1, 2015 Before you invest in the AdvisorShares Fund, you may want to review the Fund s prospectus and statement of additional

More information

T. Rowe Price Target Retirement 2030 Fund Advisor Class

T. Rowe Price Target Retirement 2030 Fund Advisor Class T. Rowe Price Target Retirement 2030 Fund Advisor Class Supplement to Summary Prospectus Dated October 1, 2015 Effective February 1, 2016, the T. Rowe Price Mid-Cap Index Fund and the T. Rowe Price Small-Cap

More information

Intro on Hedge Funds AQF-2005

Intro on Hedge Funds AQF-2005 Intro on Hedge Funds AQF-2005 1 Hedge Funds What are hedge funds? Why is their performance measurement different from that of regular mutual funds? How should we analyze their performance? 2 What is a

More information

Learn about exchange-traded funds. Investor education

Learn about exchange-traded funds. Investor education Learn about exchange-traded funds Investor education Become a more knowledgeable exchange-traded funds investor In this education guide, you ll get answers to common questions about exchange-traded funds,

More information

ALTERNATIVE INVESTMENTS. Understanding their role in a portfolio

ALTERNATIVE INVESTMENTS. Understanding their role in a portfolio ALTERNATIVE INVESTMENTS Understanding their role in a portfolio What are alternative investments? What role can they play in today s approach to portfolio planning and asset allocation? While opinions

More information

Fixed-income opportunity: Short duration high yield

Fixed-income opportunity: Short duration high yield March 2014 Insights from: An income solution for a low or rising interest-rate environment Generating income is a key objective for many investors, and one that is increasingly difficult to achieve in

More information

DOUGLAS S. WEISS, CFA! INVESTMENT ADVISOR D E C E M B E R 2 0 1 2

DOUGLAS S. WEISS, CFA! INVESTMENT ADVISOR D E C E M B E R 2 0 1 2 DOUGLAS S. WEISS, CFA! INVESTMENT ADVISOR D E C E M B E R 2 0 1 2 EXPERIENCE / EXPERTISE Registered Investment Advisor ( RIA ) focused on constructing and managing risk optimized portfolios for individual

More information

Diversified Alternatives Index

Diversified Alternatives Index The Morningstar October 2014 SM Diversified Alternatives Index For Financial Professional Use Only 1 5 Learn More indexes@morningstar.com +1 12 84-75 Contents Executive Summary The Morningstar Diversified

More information

Balanced fund: A mutual fund with a mix of stocks and bonds. It offers safety of principal, regular income and modest growth.

Balanced fund: A mutual fund with a mix of stocks and bonds. It offers safety of principal, regular income and modest growth. Wealth for Life Glossary Aggressive growth fund: A mutual fund that aims for the highest capital gains. They often invest in smaller emerging companies that offer maximum growth potential. Adjustable Rate

More information

Dynamic Diversified Growth Fund

Dynamic Diversified Growth Fund Dynamic Diversified Growth Fund with BlackRock Investment Management (UK) Limited Customer Brochure BlackRock is a truly global firm that manages assets for clients in Europe, North and South America,

More information

Explore the Field of Mutual Funds

Explore the Field of Mutual Funds Wealth Management Education Series How can we help you further? Do you have a question on what you have just read? Would you like to have a further discussion on this subject? Contact your Relationship

More information

Low-Volatility Investing for Retirement

Low-Volatility Investing for Retirement Low-Volatility Investing for Retirement MODERATOR Robert Laura President SYNERGOS Financial Group PANELISTS Frank Barbera Executive VP & Co-Portfolio Manager Company Paul Frank Lead Portfolio Manager Stadion

More information

BASKET A collection of securities. The underlying securities within an ETF are often collectively referred to as a basket

BASKET A collection of securities. The underlying securities within an ETF are often collectively referred to as a basket Glossary: The ETF Portfolio Challenge Glossary is designed to help familiarize our participants with concepts and terminology closely associated with Exchange- Traded Products. For more educational offerings,

More information