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October 5, 2018

looking for a conservative defined outcome alternative for fixed income?

On a recent trip to the Baltimore/Washington D.C. region, I had the opportunity to meet with several financial advisors over lunch to discuss their methods of mitigating risk within their credit portfolios. We discussed the
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August 1, 2018

how much protection do longer term buffered products actually provide?

Barron’s wrote a cover article, “The Annual 50 Best Annuities Review”, in their July 22, 2018 edition with a section that highlighted the growing success of Structured Annuities. The article helped answer a question that
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June 4, 2018

structured note innovations vs traditional: competitive or complimentary

“Buffer annuities will continue to grow in popularity: Blackrock research finds that 39 percent of retirement savers would move further away from their cash holdings if their capital was protected. As cash continues to be
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March 21, 2018

hedging: stop loss vs option strategies

February was a good test run for the inevitable market downturn. After being on cruise control for approximately two years the fear of inflationary pressures combined with quickly rising rates spooked the market resulting in
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July 20, 2017

three years of innovation: the rolling buffered notes

Downside protection in a portfolio is a key need for many clients. Whether simply due to a conservative investor approaching retirement (e.g., 55 – 65+ group) or views that the market may be long in
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December 29, 2016

thoughts on volatility and the markets

As we leave 2016 behind and prepare for 2017, I wanted to share some of the themes we have recently been speaking and writing about. Over the last quarter, we penned four articles, appeared in
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November 4, 2016

joe halpern interviewed on voice of america: market volatility in the national election

Joe Halpern joined Jill Malandrino, Markets Reporter for the popular Voice of America segment on Nasdaq Facebook Live to discuss market volatility going into the national election and what may be in store come next
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November 2, 2016

vix going into the elections

Last week I penned an article in the November issue of Investment Advisor (a ThinkAdvisor publication); the article discusses how the VIX communicates expected volatility over the next 30 days. Although VIX is always an
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June 17, 2016

do low volatility funds actually protect in downturns?

Low volatility funds have been hot, hot, hot – the top two domestic based ETFs in the category, USMV and SPLV, now have over $20 billion in assets between them, of which $8 billion has
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April 21, 2016

product development: is the backtest trustworthy?

Part one of a series of articles on product development “I have never seen a bad backtest” is an often stated criticism of backtesting that has a high degree of truth to it – many
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February 18, 2016

the difference between beta and delta and why we care

Check out our webinar on Beta vs. Delta. Beta is one of the classic measurements within the financial industry. It is one of the first measurements shown on Yahoo Finance, right under the bid-ask and earnings
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January 19, 2016

what’s your market floor?

Market upheaval can be gut wrenching. The market can experience 5% and 10% declines with surprising frequency, with a typical bounce back relatively quickly. But once in a while you get a 2008 event where
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December 1, 2015

jefferson national and exceed investments partner to launch vit

We are pleased to announce a partnership between Jefferson National, innovator of the industry’s leading tax advantaged investing platform for RIAs and fee-based advisors, and Exceed Investments, a pioneer in defined outcome investing. The alliance
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November 18, 2015

define your outcome – our new tagline explained

Investors generally fear the unknown. Unfortunately, traditional market exposure is full of unknowns – market corrections occur without warning, with no telling how deep a drop or how long it will last. Exceed Investments offers
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August 19, 2015

response to a biased article on structured notes

I recently came upon a Seeking Alpha article by Alliance Bernstein titled Structured Notes: Read the Fine Print. The article expressed a fairly negative and, in my opinion, inaccurate view of structured investing based on
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August 13, 2015

investors need faith along with their downside protection

The unpredictable nature of the market can be terrifying. Any hint of volatility sends skittish investors in search of skilled managers to guide them through pending storms. But even when armed with a sound strategy,
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July 14, 2015

playing defense with a chance to score

The investing world is slowly but surely getting a little scarier as flashpoints are adding to the unease of an already longer than typical bull market. Is there contagion from Greece? What is going on
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March 2, 2015

cake, ice cream and protection

The other evening my wife and I had a couple over for dinner. Over the course of the evening we got to discussing what my company’s indexes, the Nasdaq Exceed index family, were created to
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February 19, 2015

loss of a great visionary

The derivatives world has lost one of its biggest innovators and most important visionaries – Ivers Riley. Ivers had a hand in almost every transformative moment involving listed equity derivatives since their inception in the
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January 21, 2015

enjoying the thrill of investing without the dangers: controlling your risk / reward exposure

The Kingda Ka roller coaster is one of the largest and perhaps scariest roller coasters in the world. After a fear invoking pause, it launches out of the gate, achieving a speed of 128 miles
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December 10, 2014

rich, smart, and good looking. there has to be a catch.

I recently came across a 7 year note offering 300% uncapped upside participation in the Goldman Sachs Momentum Builder Multi-Asset 5 ER Index (“The GS index”) with full principal protection. One of the best headline
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