Investment Planning

Find courses that cover the analysis and evaluation of risk exposures and insurance, health, disability, long-term care, life insurance and annuities. 


Investment Planning (CE Credit)
Collapse Alternative Investments: Adviser Due Diligence and Training Best Practices - On Demand

Build your confidence around alternative investments with a thorough understanding of due diligence best practices and training requirements. With sound policies and procedures in place, you will be able to deepen conversations (and relationships) with clients, select the right investments to match client objectives and provide detailed research and training documentation in case of audit.Upon completion of this program, participants will be able to:

 

  • Implement comprehensive policies and procedures related to alternative investments.
  • Increase credibility around alternative investments via product-specific training activities and ongoing monitoring of products being offered to clients
  • Understand the critical importance of documenting all research, training and due diligence activities for compliance purposes
  • Address major regulatory issues related to alternative investments
  • Be better prepared to incorporate alternative investments into client portfolios.

 

Can't Miss Takeaway

Understand and implement comprehensive training and due diligence policies and procedures related to Alternative Investments.

 

Who Should Attend

Financial Advisors interested in incorporating alternative investments into their product lines.

 

Please note that the on demand version of the course may not be available until 10 days after the live event. You will be notified when the on demand version of this course, and required exam for CE credit, is open. 

Formats Available: Streaming
Original Course Date: September 09, 2016

Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Alternative Investments: Adviser Due Diligence and Training Best Practices - On Demand
    Collapse Goals Based Asset Management-Which Adds More Value, Higher Returns or Lower Risk?
    Is Modern Portfolio Theory dead given the high correlation of numerous asset classes over the last decade?Tactical or Strategic? How to protect the portfolio in volatile markets? Where does the investment advisors real value added come from?Integrating the portfolio design into a practical vs theoretical Monte Carlo application. Rebalancing which approach works best and a summary of his lifes lessons learned through numerous good and bad markets.

    Learning Objectives:

    • Financial planners will understand why allocating client assets in a broadly diversified portfolio remains the most effective approach to wealth accumulation and managing downside risk.
    • Financial planners will understand how to address the risk of emotional decision making by investors.
    • Financial planners will be able to identify key outputs from planning software and how they impact portfolio construction for retirement income planning.

    Formats Available: Streaming
    Original Course Date: September 09, 2016

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Goals Based Asset Management-Which Adds More Value, Higher Returns or Lower Risk?
    Collapse Hedging Equities and Fixed Income - Managing Risk in times of Volatility & Rising Interest Rates

    Hedging Equites and Fixed Income, managing risk in times of volatility and rising Interest rates using Convertible Bonds. The history, the marketplace and how convertible bonds work. Discussing the advantages of adding convertible bonds to an allocation to further diversify, lower volatility and reduce risk. Sharing the history and performance of Convertible Bonds. Using Convertible Bonds as a Fixed Income replacement positioned for rising interest rates, an Equity replacement positioned for market volatility with downside protection or as a low cost natural Alternative that moves with the markets. Discussing Convertible Bonds low or negative correlation relative to Treasuries and their historical performance during times of rising interest rates and equity markets. Describing how Convertible Bonds can provide equity-like returns with only part of the risk of owning common stocks. And, describing how Convertible Bonds naturally adjust and re-balance to the market rather than relying on market forecasts or predictions.

     

    Learning Objectives:

     

    • Discuss Convertible Bonds, the history, the marketplace and how convertible bonds work
    •  Describe how Convertbile Bonds hedge Equities and Fixed Income by diversifying, lowering volatility and by reducing risk
    • Summarize how Convertible Bonds contribute to an allocation and improve the efficient frontier

     

    Formats Available: Streaming

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Hedging Equities and Fixed Income - Managing Risk in times of Volatility & Rising Interest Rates
    Collapse How to Read and Apply Research-Based Writing

    Retreat 2016

    For financial planning to continue to emerge as a true profession, we must ensure that our best practices are based on the best available science, rather than custom and received wisdom. While this doesnt require that all practitioners become scientists, it does require the ability to recognize and evaluate research-based writing. During this session we will review the key elements of research-based writing in financial planning and offer techniques for evaluating and incorporating it into your daily practice of financial planning.

    Learning Objectives:

    • Distinguish between informal and research-based writing in financial planning.
    • Better use research-based writing by understanding the nature of the research question and the methodology by which it was tested, as well as the ability to evaluate the ultimate findings.
    • Incorporate the results of research-based writing into their daily work with clients.
    Formats Available: Streaming
    Original Course Date: April 26, 2016

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE How to Read and Apply Research-Based Writing
    Collapse Impact Investing in the Public Markets - On Demand

    Logo

     

    The greatest wealth transfer in history has begun to take place! Women and millennials inheriting an estimated $41 T in the next few decades and these consumers want to make holistic decisions. They are requiring  that advisers provide access to investments aligned with their values, and in a way that directs capital to solving the world's biggest systemic risks (e.g. climate change). Advisers must be armed with tools to address these needs, or risk losing existing and potential new clients.  In this interactive session, Betsy Moszeter and Garvin Jabusch of Green Alpha Advisors, LLC provide some tools, and bust false myths such as impact investing vehicles underperform the market, and that advising clients about impact investing options is not an integral part of fiduciary duty.

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: September 21, 2016
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Impact Investing in the Public Markets - On Demand
    Collapse Income or Liquidity: What
    The financial crisis and persistent market volatility have intensified investor bias toward liquid securities. Unfortunately for investors, this increased demand has coincided with deteriorating yields for highly liquid assets in the public markets. Yields in more liquid assets have been decreasing due to a shortage of supply, while yields in less liquid parts of the market have been increasing due to a lack of demand. The result has been an increase in the illiquidity premium  that is, the difference in yield between liquid and less liquid securities. As investors demand for liquidity has increased, so too has the relative cost of owning a fully liquid portfolio. This presentation will discuss the mismatch between the demand for and supply of liquid securities and offer alternatives for those willing to employ a long-term alternative investment strategy.

    Learning Objectives:

    • Define the term illiquidity premium
    • Differentiate between and describe differences between liquid and illiquid market securities
    • Describe opportunities how investors may take advantage of the mismatch between the demand for and supply of liquid securities.

    Formats Available: Streaming
    Original Course Date: September 09, 2016

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Income or Liquidity: What
    Collapse Lifting the Veil: Economic Update - On Demand

    Retreat 2015

    The art and science of financial planning is practiced within a space of possibility shaped by many forces - including history, tradition, culture, technology, markets and regulation. In turn, these forces develop within the confines of economic constraints. Economics is therefore responsible for shaping much of our professional environment. Yet like fish in water, we are often unaware of our immediate surroundings  accepting without question the world are accustomed to as the way things are. 

    Join Pavlina Tcherneva as she breaks new ground at FPA Retreat - lifting the veil on money, debt, unemployment and inequality to reveal a new world of economic possibility for the 21st Century. 

    Learning Objectives

    Helping clients cope with an unknowable future is a fundamental skill for professional financial planners. 

    Participants will be exposed to alternative interpretations of economic forces grounded in the realities of money and banking.

    Formats Available: Streaming
    Original Course Date: April 26, 2015

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Lifting the Veil: Economic Update - On Demand
    Collapse Managing Risk in Uncertain Times - On Demand

     

     

    $29/member

    $59/non-member

     

     

    Applying effective risk management tools and techniques is a critical component of designing and building portfolios to achieve long-term investment success. City National Rochdale Senior Portfolio Manager Elizabeth Dooley and Senior Investment Consultant Vern Montross team up to discuss the importance of a strong risk management framework, by highlighting best practices and illustrating specific case study examples. This presentation will give advisers an opportunity to review the effectiveness of their portfolio risk management methods while identifying ways to enhance their approach.    

    Formats Available: Streaming, Webinar + Archive
    Original Course Date: September 27, 2016
    On-Demand Release Date: Available Now

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Managing Risk in Uncertain Times - On Demand
    Collapse Risk Management - U.S. Equity Investing
    Every investment involves some degree of risk. This presentation by Jensen Investment Management will explore the types of risks, their meaning and impact, and how certain tools and mechanisms can help manage these risks.

    Learning Objectives:
    • Be able to outline the two primary risks all investments fall under
    • Describe how Jensen manages risk through quality and valuation
    • Understand risk management tools and how they are utilized to mitigate risk.
    Formats Available: Streaming
    Original Course Date: September 09, 2016

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Risk Management - U.S. Equity Investing
    Collapse Solving for Uncertainty Today - On Demand

    Retreat 2016

    Discussion on transforming volatility from a liability to an asset and solving the sequence of returns conundrum all while improving the client experience and differentiating your business.

    Learning Objectives:

    • Describe how option strategies can be used to protect client capital and solve for the sequence of returns conundrum without disrupting existing allocations.
    • Demonstrate how their business is different from the increasingly homogenous planning
    • Employ strategies today that solve for uncertainty by transforming volatility from an liability to an asset.
    Formats Available: Streaming
    Original Course Date: April 26, 2016

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE Solving for Uncertainty Today - On Demand
    Collapse The Incredible Shrinking Alpha - On Demand

    2016 FPA Annual Conference

    Learn how superior investment performance is fully accounted for by the risks you are taking with your client’s money as discussed in Swedroe’s latest book, "The Incredible Shrinking Alpha."

    Learning Objectives

    • Describe the evolution in financial factor models that explain which factors explain the variation in returns between diversified portfolios.
    • Understand how the discovery of these factors has made the generation of alpha more difficult.
    • Identify opportunities in which theoretical adult-learning concepts can be applied to elevate client learning and engagement.

     

    Formats Available: Streaming

    Approved Credit:
  • FPA: 1 hour CFP CE

  • ADD COURSEADD COURSE The Incredible Shrinking Alpha - On Demand
    Investment Planning (No Credit)
    Collapse Citizens of the World: Developing Confidence in Global Investment for Better Portfolio Management

    This session will delve into how a person’s world view affects their investment strategy. By redefining home biases, practices can create truly disciplined global investors who look at the big picture. Dr. Sarah Newcomb, our social psychologist, will take a closer look at how cultural differences and national identities create friction in global investing. Matt Hall will present practical steps planners can take to grow open-minded disciplined investors and make informed decisions. Robert Van Beek will share a micro-level view of global investments from a Belgium/The Netherlands perspective. What benchmarks are used in these countries? Are their investment strategies the same as the U.S.?

     

    Learning Objectives

    • Examine how cultural differences and national identities create friction in global investing. 
    • Discover practical steps planners can take to grow open-minded disciplined investors and make informed decisions. 
    • Discuss a micro-level view of global investments from a Belgium/The Netherlands perspective: what benchmarks are used in these countries and how are their investment strategies the same as the U.S.?

     

    Formats Available: Streaming
    ADD COURSEADD COURSE Citizens of the World: Developing Confidence in Global Investment for Better Portfolio Management
    Collapse Dividend Investing in the New Neutral
    In a world characterized by low interest rates and moderate growth, investors have turned to higher yielding stocks to provide income. While such an environment can support equities from here, the prospect of multi-speed economic growth, rising rates in the U.S. and monetary easing in Europe and Asia can present the equity investor with a unique set of risks and opportunities.

    Learning Objectives:
    Learn how to effectively build flexible dividend portfolios.Understand the benefits of diversifying by asset class, geography, sector, industry, and business type can go a long way towards participating in equity market upsides, and limiting market downsides, all while meeting the need for growing income.Help investors reach their goals of an attractive yield, dividend growth, and long-term capital appreciation.

    Formats Available: Streaming
    Original Course Date: September 09, 2016
    ADD COURSEADD COURSE Dividend Investing in the New Neutral
    Collapse IRA Investor Behavior: Insights & Best Practices
    This session will provide advisers with best practices on how to make the most out of IRA financial planning opportunities. We will discuss Vanguards research on IRA investor behavior, ranging from account selection to contribution and withdrawal behavior, as well as prudent tax-planning strategies.

    • Learning Objectives:
    • Identify planning opportunities with IRAs (Roth and Traditional)
    • Distinguish trends around IRA behavior, including investment, contribution, and withdrawal investor behavior
    • Implement practical application for advisers.


    Formats Available: Streaming
    Original Course Date: September 09, 2016
    ADD COURSEADD COURSE IRA Investor Behavior: Insights & Best Practices