The Basics of Exchange-Traded Funds

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Exchange-Traded Funds

Named one of the Financial Times’ top 300 advisory firms in 2016, Sheaff Brock is an Indianapolis firm that oversees more than $1 billion in assets on behalf of its clients. In its work with high net worth individuals, Sheaff Brock’s sister company, Salzinger Sheaff Brock, uses several portfolio options, including the purchase of exchange-traded funds (ETFs).

A type of fund that owns some form of underlying asset, such as equity shares, gold bullion, or oil futures, which it divides into shares, an ETF offers indirect ownership of its assets to shareholders. Investors in an ETF receive a proportion of the profits generated by the assets in relation to their share ownership, usually in the form of dividends or earned interest, and may also receive a residual value following the liquidation of the ETF.

Considered a passive investment that is not traditionally overseen by a fund manager, ETFs differ from traditional active funds as they receive continuous pricing throughout the course of a day, allowing investors and traders to profit from short-term market movements.


Middle East Investment Summit 2017 Broadens Professional Connections

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Middle East Investment Summit

An independent fee-based investment firm in Indianapolis, Indiana, Sheaff Brock Investment Advisors provides investment portfolio management services for high net worth clients. Sheaff Brock has multiple staff professionals active in the Chartered Alternative Investment Analyst (CAIA) Association, which will serve as an education partner for the Middle East Investment Summit 2017.

The summit will meet the needs of end-investors in the Middle East and enable industry professionals to connect with some of the top financial market authorities and fund managers. Activities include a variety of round table discussions, fund strategy sessions, and “1-2-1” partnering meetings that explore critical topics in the investment industry and address key challenges. Programming is also spread across three international brands, and attendees can build their professional relationships through informal networking receptions.

Attendees may choose between individual and group booking and the cost of registration includes networking activities, lunch and refreshments, a cocktail party, and passes to both days of the conference. Additionally, industry professionals can choose from a number of sponsorship packages that deliver opportunities for developing key relationships, educating investors and asset managers, and promoting their brand.

The Middle East Investment Summit 2017 will take place on May 22 and May 23 at the Ritz Carlton DIFC in Dubai.

The Road to Becoming a Certified Financial Planner (CFP)

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Certified Financial Planner

Sheaff Brock is a fee-only independent investment firm specializing in portfolio management for high net-worth individuals located in Indianapolis. There are currently five Certified Financial Planners (CFP), one CFA, and one CPA working for Sheaff Brock.

The Certified Financial Planner Board of Standards, Inc., is responsible for conferring the CFP designation. A CFP must pass a comprehensive initial exam and complete continuing education classes annually to remain certified.

Becoming a CFP demands that a candidate meets the requirements in four different areas: education, CFP exam, work experience, and ethics.

First, the candidate must hold a bachelor’s degree from a college or university accredited by the U.S. Department of Education. Secondly, the candidate must have completed the financial planning courses deemed necessary by the CFP Board. This coursework can be waived if the candidate holds other credentials such as CFA, CPA, or graduate degree in business.

The CFP exam has 170 multiple-choice questions. It is taken on a computer and lasts three days. Topics on the exam include but are not limited to financial planning, taxes, insurance, estate planning, and retirement.

The candidate must have three years of verified full-time industry experience (two years of apprenticeship is allowed under strict evaluation and requirements). In addition, the board conducts an extensive background check, and the candidate must disclose all relevant financial and professional information on a regular basis.

The Financial Times Top 300 List

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Financial Times Top 300 List

Headquartered in Indianapolis, Indiana, the investment advisory firm Sheaff Brock manages assets in excess of $1 billion. Sheaff Brock offers its clients a variety of innovative investment portfolio options, and has been recognized by the industry publication Financial Times (FT) as one of the country’s 2016 top 300 advisory firms.

A leading business information and news organization, the Financial Times has published its top 300 list of investment advisors registered in the United States annually for the past three years. The FT 300 assesses registered investment advisers (RIAs) on a number of performance indicators.

In 2016, the FT invited over 1,500 RIA companies to complete the selection application and received 520 responses. The information provided, in conjunction with independent research that includes data garnered from regulatory filings, ensures the list contains only experienced and established advisory firms.

Presented as a select group as opposed to a list ranking the firms from one to 300, the FT considers several factors when calculating each RIAs numeric score, including key employee certifications, SEC compliance, asset growth, and online accessibility.

Exploring the Difference Between Equity and Debt Mutual Funds

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Mutual Funds

Offering portfolio management that meets clients’ specific objectives and risk tolerances, Salzinger Sheaff Brock, LLC, allocates assets through a pairing of ETF’s and no-load mutual funds. For those focused on maximizing growth, Salzinger Sheaff Brock targets exposure in areas that are likely to provide higher risk-adjusted returns.

Among the growth portfolio strategies are commodity, foreign and international funds, as well as equity and debt mutual funds. A combination of the latter two helps refine and balance the risk-reward dynamic. Debt mutual funds can encompass low-risk holdings in government bonds, as well as commercial issues, and company fixed deposits and debentures. While not offering guaranteed returns, they generally offer greater stability.

Equity funds, on the other hand, generally involve a portfolios of diversified investments in the stocks of companies operating in the industries targeted by the individual fund manager. Typically held as long-term investments,they do have more risk/reward exposure and are vulnerable to economic currents and price swings in ways that debt holdings are not.