Archives for Uncategorized

THOUGHT LEADERSHIP: CULTURE, More Than a Slogan

WHAT IS YOUR FIRM? Seems like a simple question, right? A wirehouse. An RIA. A hybrid firm affiliated with an independent broker dealer. A career/captive office. But, that only addresses the business structure. The real question is, what is your firm in terms of people, values, client service, ethics, support and growth, collaboration, etc.? In short, what is your culture?   Read the full article in the downloadable PDF »
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The Investor Quarterly Market Commentary and Investment Perspectives

Greetings, Global capital markets continued their amazing advance in the fourth quarter of 2017. The S&P 500 Index, a proxy for the US equity markets, was up +6.18% for the fourth quarter, and that Index has now delivered a record fourteen consecutive months of positive returns. A synchronized global economic expansion fueled market optimism, and U.S. markets cheered the U.S. Tax Reform Bill passed by Congress, and signed by President Trump just prior to the Christmas holiday. Unlike the previous three quarters of 2017, the U.S. equity markets weren’t the best performing equity markets in the quarter ending December 31st.
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THOUGHT LEADERSHIP: If the DOL Delays, Why You Should Not

Where Are We Now? In August, the DOL asked the Office of Management and Budget (OMB) to delay full implementation of the fiduciary rule until July 1, 2019. The current full implementation date is set for January 1, 2018. The Department of Justice (DOJ) has proposed removing the class-action litigation provision. The DOL has proposed some changes to the best-interest contract exemption (BICE) and the prohibited transaction exemption. The other major provisions of the rule are slated to remain intact at this juncture… Read the full article in the downloadable PDF »
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The Investor Quarterly Market Commentary and Investment Perspectives

Greetings, Global capital equity markets continued their historic advance in the third calendar quarter of 2017, led once again by foreign developed, and emerging markets. Foreign developed equity markets were up +5.4% (MSCI EAFE Index) for the quarter, while their emerging market counterparts were up even more, gaining +7.9% (MSCI Emerging Markets Index) for the period (1). The U.S. stock market once again lagged its foreign competitors for the quarter (S&P 500 Index was up +4.5%), though investors had to be pleased to see a bit of reacceleration in their momentum from the quarter prior, when the Index gained just
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ATPW & Day Hagan | Asset Management Webinar

Looking for returns in fully-valued U.S. markets? With fully-valued U.S. markets, where can investors turn? Chief Investment Strategist Jay Penney and Portfolio Manager Don Hagan discuss various aspects of the global economies and financial markets. Find out the philosophy behind the Day Hagan Logix Tactical Dividend Strategy and what can be done within a U.S. stock portfolio to navigate this unique period of time we are in.
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THOUGHT LEADERSHIP: Profit is a Six-Letter Word

Recently, we explored the concepts of simplicity and efficiency in managing a financial advisory/planning practice. With those lessons learned – or constantly being learned, as growth is a process – the focus now turns to profitability. While some financial advisors get into the business purely for the rush of being a “hunter” finding new opportunities, many of the best financial professionals choose the career path because they want to help people. People who help people for a living often do not think about profitability as a primary objective. Read the full article in the downloadable PDF »
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The Investor Quarterly Market Commentary and Investment Perspectives

Greetings, The second calendar quarter of 2017 saw a continuation of global capital market advances, particularly in overseas markets, continuing the rotation away from the U.S. capital markets we noted in last quarter’s Investor Quarterly. More attractive equity valuations in European, Asian and Emerging Markets saw net capital flows headed that way, causing U.S. capital markets to underperform foreign markets for the first time in several years. Broadly speaking, while equity market returns globally were relatively strong in Q2 2017, both foreign and domestic equity markets saw a deceleration in their advances during the second quarter, when compared to the
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INVESTING “THROUGH THE LOOKING GLASS”

Is it just me, or are the capital markets seemingly oblivious to the “warning signs” I see forming on the investment horizon? Is it the incredible heat we’re experiencing here in the desert this summer that is causing market participants to “see” refreshing oases in the near-term horizon, or are they just mirages? As the first half of calendar-year 2017 comes to an end, it’s an opportune time to review market and economic conditions as they are today, not as we wish them to be, and to try to identify “trends” that may impact our clients’ capital during the remainder
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AARON BRODT AMONG “BEST OF BEST” FINANCIAL ADVISORS ATTENDING BARRON’S TOP INDEPENDENT ADVISORS SUMMIT

Exclusive Conference Hosts Elite Gathering of Nation’s Pre-eminent Financial Advisors and Industry Decision Makers Scottsdale (March 23, 2015)—Aaron Brodt, attended the seventh-annual Barron’s Top Independent Advisors Summit, hosted by Barron’s magazine to promote best practices in the industry and the value of advice to the investing public. The invitation-only conference was held at the Fairmont Princess Hotel March 23 – 25 in Scottsdale, AZ. Many of the Top 100 Independent Financial Advisors in the U.S., as ranked and published in Barron’s August 23, 2014 issue, were in attendance. This annual ranking is the basis for the Top Independent Advisor’s Summit
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