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Solving Investment Challenges

Swan CIO Summit Series

Swan Glob­al Invest­ments is pleased to announce that the 2017 Swan CIO Sum­mit was a resound­ing suc­cess.  With over 80 par­tic­i­pants con­verg­ing in Chica­go on April 4th, this year’s Swan CIO Sum­mit was an oppor­tu­ni­ty for sea­soned finan­cial pro­fes­sion­als to con­verse and share ideas.  Under the roof of the ele­gant Kimp­ton Gray Hotel, insti­tu­tion­al con­sul­tants, wealth man­agers, endow­ment and foun­da­tion trustees, liq­uid­i­ty providers, ERISA experts and aca­d­e­mics came togeth­er to dis­cuss the fol­low­ing top­ics:

Cap­i­tal Mar­kets. A live­ly dis­cus­sion fea­tur­ing John Thomp­son of Aon Hewitt, Gib Wat­son of Envest­net-Pri­ma, and Jeff Korzenik of Fifth Third Bank  regard­ing the dif­fi­cul­ty investors have build­ing a port­fo­lio that will meet their return require­ments.  Equi­ties, fixed income, and alter­na­tives all have their chal­lenges, and investors might need to tem­per their expec­ta­tions.

ETFs.  With­out a doubt, the exchange trad­ed fund mar­ket has grown enor­mous­ly.  Kee­gan Toci from Black­Rock, Dave LaValle from State Street Glob­al Advi­sors and Eric Pol­lack­ov from Invesco  Pow­er­Shares shared their insight and exper­tise as to what changes and improve­ments have been made over the last few years to accom­mo­date this growth and ensure order­ly pric­ing, trad­ing, and liq­uid­i­ty.

Options.  Giv­en the chal­lenges tra­di­tion­al cap­i­tal mar­kets face,  Kevin Bald­win from the Options Indus­try Coun­cil, Matt Moran Chica­go Board Options Exchange and Dr. Ed Sza­do, Ph.D., CFA® from INGARM dis­cussed how options and options-based strate­gies could enhance return, reduce risk, or both.

Endow­ments, Foun­da­tions, and Pen­sions.  Demands on port­fo­lios are increas­ing while cap­i­tal mar­ket fore­casts are decreas­ing.  How does one solve that puz­zle?  Sam Gal­lo, CPA, CAIA® from the Uni­ver­si­ty Sys­tem of Mary­land Foun­da­tion, Glenn Ross from Mar­quette Asso­ciates, and Brent Wright from Regions Asset Man­age­ment shared what they are doing to keep port­fo­lios fund­ed and still sup­port­ing the cash flow demands.

Offload­ing Beta.  With mar­kets at all-time highs, what can be done to address sys­tem­at­ic risk?  Swan’s team of Rob Swan, Chris Haus­man, CMT and Aashish Vyas detailed how cus­tomized, bespoke solu­tions could be used to hedge risks and/or sup­ple­ment returns on exist­ing port­fo­lios.

Defined Contribution/401(k).  Joe Gor­don, CFP® CIMA®, AIFA®, CPFA and Todd Zem­pel, QKA®, AIFA®, CPFA of Gor­don Asset Man­age­ment con­front­ed the prob­lem fac­ing many Amer­i­cans in self-direct­ed retire­ment plans: that tar­get date funds appear woe­ful­ly unpre­pared for a major mar­ket down­turn.  The CIT solu­tion Swan and Gor­don have devel­oped togeth­er is designed to help mit­i­gate this risk.

Defined Risk Strat­e­gy.  As Swan approach­es its 20th anniver­sary, Randy Swan and Rob Swan talked about the birth of the DRS, how Swan Glob­al Invest­ments has evolved over the years, and the long-term strate­gic vision for the com­pa­ny.  In a lat­er ses­sion, Marc Odo, CFA®, CAIA®, CIPM®, CFP® shared prac­ti­cal ideas on the many dif­fer­ent roles the DRS can per­form in a port­fo­lio.

While the event is invite only for research pro­fes­sion­als, CIOs, con­sul­tants, and port­fo­lio man­agers, we have been “tak­ing the show on the road” for finan­cial advi­sors with our 10th Box region­al due dili­gence events.  The 10th Box dis­tills the key points from the Sum­mit in to a two-hour lun­cheon.  The port­fo­lio man­agers of the Defined Risk Strat­e­gy are joined by mem­bers of the research team in loca­tions across the coun­try.  We hope to see you at a 10th Box event, or at the 2018 Swan CIO Sum­mit.


Swan would like to thank Black­Rock, State Street Glob­al Advi­sors, S&P Dow Jones, Invesco Pow­er­Shares, and  North­ern Lights Dis­trib­u­tors, as well as, all of the esteemed speak­ers and atten­dees for their par­tic­i­pa­tion in mak­ing the Swan CIO Sum­mit a resound­ing suc­cess.


David Lovell - Director of Marketing - Swan Global InvestmentsAbout the Author: David Lovell, Direc­tor of Mar­ket­ing, is respon­si­ble for Swan’s mar­ket­ing and engage­ment ini­tia­tives. This includes devel­op­ment and exe­cu­tion of mar­ket­ing pro­grams for Swan’s web­sites, con­tent, com­mu­ni­ca­tions, events, and media. David began his career in the finan­cial indus­try at Mass Mutu­al, where he held life, health and dis­abil­i­ties insur­ance licens­es, as well as, Series 6 and 63 licens­es. David cur­rent­ly holds a Series 65 license.



Impor­tant Notes and Dis­clo­sures:

Swan Glob­al Invest­ments, LLC is a SEC reg­is­tered Invest­ment Advi­sor that spe­cial­izes in man­ag­ing mon­ey using the pro­pri­etary Defined Risk Strat­e­gy (“DRS”). SEC reg­is­tra­tion does not denote any spe­cial train­ing or qual­i­fi­ca­tion con­ferred by the SEC. Swan Glob­al Invest­ments offers and man­ages the Defined Risk Strat­e­gy for investors includ­ing indi­vid­u­als, insti­tu­tions and oth­er invest­ment advi­sor firms. All Swan prod­ucts uti­lize the Swan DRS but may vary by asset class, reg­u­la­to­ry offer­ing type, etc. Accord­ing­ly, all Swan DRS  prod­uct  offer­ings  will  have  dif­fer­ent  per­for­mance  results  and  com­par­ing  results among the Swan prod­ucts and com­pos­ites may be of lim­it­ed use. Swan claims com­pli­ance with the Glob­al Invest­ment Per­for­mance Stan­dards (GIPS®). Any his­tor­i­cal num­bers, awards and recog­ni­tions pre­sent­ed are based on the per­for­mance of a (GIPS®) com­pos­ite, Swan’s DRS Select Com­pos­ite, which includes non­qual­i­fied dis­cre­tionary accounts invest­ed in since incep­tion, July 1997 and are net of fees and expens­es. All data used here­in; includ­ing the sta­tis­ti­cal infor­ma­tion, ver­i­fi­ca­tion and per­for­mance reports are avail­able upon request. The S&P 500 Index is a mar­ket cap weight­ed index of 500 wide­ly held stocks often used as a proxy for the over­all U.S. equi­ty mar­ket. Index­es are unman­aged and have no fees or expens­es. An invest­ment can­not be made direct­ly in an index. Swan’s invest­ments may con­sist of secu­ri­ties which vary sig­nif­i­cant­ly from those in the bench­mark index­es list­ed above and per­for­mance cal­cu­la­tion meth­ods may not be entire­ly com­pa­ra­ble. Accord­ing­ly, com­par­ing results shown to those of such index­es may be of lim­it­ed use. The adviser’s depen­dence on its DRS process and judg­ments about the attrac­tive­ness, val­ue and poten­tial appre­ci­a­tion of par­tic­u­lar ETFs and options in which the advis­er invests or writes may prove to be incor­rect and may not pro­duce the desired results. There is no guar­an­tee any invest­ment or the DRS will meet its objec­tives. All invest­ments involve the risk of poten­tial invest­ment loss­es as well as the poten­tial for invest­ment gains. Pri­or per­for­mance is not a guar­an­tee of future results and there can be no assur­ance, and investors should not assume, that future per­for­mance will be com­pa­ra­ble to past per­for­mance. Fur­ther infor­ma­tion is avail­able upon request by con­tact­ing the com­pa­ny direct­ly at 970.382.8901 or vis­it   083-SGI-041317

By |2018-10-02T11:21:05+00:00April 11th, 2017|Blog|Comments Off on Swan CIO Summit 2017 Recap