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Portfolio Management Strategies: Asset Location and Allocation

Understand key portfolio management strategies and how to interpret and evaluate asset allocation. In a diversified investment portfolio, market exposure and asset allocation are the most important determinants of both performance and risk. Unfortunately, most investors give little credit or time to asset allocation policy, focusing instead on security selection and attempts to outsmart the market. In addition, it has been well-documented that traditional investment strategies largely ignore the negative tax consequences that taxable investors face. Since investors only benefit from net returns, after fees and taxes, prudent portfolio management requires careful attention towards the unique tax profile of each investor. This topic will equip you with the ability to interpret and evaluate a client's asset allocation and explain the importance of asset allocation policy on portfolio performance. The material will include a review of strategic/broad versus sub-asset classes, portfolio construction, and rebalancing strategies. The topic will also investigate the topic of asset location, with a focus on tax-efficient portfolio design and management. After this topic, you will be able to identify opportunities to reduce unnecessary tax consequences and improve after-tax portfolio returns. Understanding and communicating this information to clients will help set the table for a more detailed conversation about their overall investment portfolio and financial picture.


Runtime: 90 minutes
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Asset Allocation

  • Definition and Importance in Portfolio Management
  • Strategic/Broad vs. Sub-Asset Classes
  • Top-Down vs. Bottom-up Portfolio Construction
  • Investor Circumstances and Constraints

Asset Location

  • Types of Investment Accounts
  • Portfolio Income Tax Classifications and Rates
  • Tax-Efficiency of Asset Classes
  • Tax-Aware Asset Location and Householding

Portfolio Design, Management, and Rebalancing

  • Investor Tax Profiles
  • Portfolio Transition and Implementation
  • Rebalancing Strategies

Recent Research and Innovation

  • 'Smart Beta' and Factor Investing
  • Exchange Traded Funds (ETFs)
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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This course was last revised on October 12, 2017.

Call 1-866-352-9540 for further credit information.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

Audio & Reference Manual

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Jonathan K. Duong, CFA, CFP®

Jonathan K. Duong, CFA, CFP®

Wealth Engineers, LLC

  • President and founder of Wealth Engineers, LLC, a fee-only Registered Investment Advisor (RIA) in Denver, CO
  • Serves clients across the U.S. with a focus on low-cost, tax-efficient portfolio management and strategic financial planning
  • Investment advisory service centers on custom-tailored portfolio design and strategic implementation, in addition to ongoing management, rebalancing, and performance reporting for individuals, trusts, and business owners
  • Comprehensive financial planning practice areas include retirement and Social Security planning, insurance and risk management, tax minimization and strategy, employee benefits, and investment guidance
  • Experience and expertise often referenced and quoted in financial news media and publications such as the AARP Bulletin, U.S. News & World Report, and Investor’s Business Daily
  • Regular conference panelist and guest speaker on topics ranging from asset allocation strategy and fixed income to personal finance and financial planning
  • Chartered Financial Analyst (CFA®) designation awarded by the CFA Institute
  • CERTIFIED FINANCIAL PLANNER™ (CFP®) conferred by the Certified Financial Planner Board of Standards
  • B.S. degree, business administration with a dual concentration in financial management and accounting, California Polytechnic State University
  • Can be contacted at 303-500-3245 or JDuong@WealthEngineersLLC.com
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 401336
Published 2017
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