Asset Management

Large Capitalization Portfolio

Investment Objectives

  • Portfolio Objective and Risk: The goal is to participate in stock market appreciation while monitoring the risk of significant stock market declines.
  • Investment Universe: The account is generally long US large capitalization equity securities. There are no geographic constraints applied to the management of the portfolio.
  • Investment Concentration: The portfolio will generally hold between 20 and 35 issues. There are no constraints on amounts invested in economic sectors or individual positions.
  • Leverage: Margin borrowing is not generally utilized and its use must be approved in advance by the client.

 

Equity Income and Options Portfolio

Investment Objectives

  • Portfolio Objective and Risk: The goal is to generate yield while monitoring the risk of significant stock market declines.
  • Investment Universe: The account is generally long US large capitalization equity securities covered with call options. Put options may also be sold to acquire stock positions. There are no geographic constraints applied to the management of the portfolio.
  • Investment Concentration: The portfolio will generally hold between 20 and 35 positions.
  • Leverage: Margin borrowing is not generally utilized and its use must be approved in advance by the client.

 

Equity Hedge Portfolio

Investment Objectives

  • Portfolio Objective and Risk: The goal is to provide equity exposure while tactically managing the overall risk of the portfolio.
  • Investment Universe: The account is generally long US large capitalization securities and short stock indexes or stocks. There are no capitalization limits or geographic constraints applied to the management of the portfolio.
  • Investment Concentration: The portfolio will generally hold 20-35 securities long and a smaller number of securities short.
  • Leverage: Margin features are required to support the short positions and margin borrowing may be utilized.

 

Global Exchange Traded Fund (“ETF”) Portfolio

Investment Objectives

  • Portfolio Objective and Risk: The goal is to provide global equity exposure while tactically managing the allocation of the portfolio via the purchase of ETFs.
  • Investment Universe: The account is generally long ETFs. There are no capitalization limits, style requirements, or geographic constraints applied to the management of the portfolio.
  • Investment Concentration: The portfolio will generally hold 20-40 securities.
  • Leverage: Margin borrowing is generally not utilized and its use must be approved in advance by the client. Leveraged ETFs, however, may be held in the portfolio.

 

 

Asset Management 2

 

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