Seeking Monthly Income & Tax Efficiency – Know Your Options – NEOS Investments – 2.22.23

Overview:
Title: Seeking Monthly Income & Tax Efficiency – Know Your Options
Date: Wednesday, February 22, 2023
Time: 2:00 PM Eastern Standard Time
Duration: 1 hour

Register Now:
Already Registered?
*I am a financial professional. I understand that this event is for financial professionals only, and I may be contacted by the sponsor.

Summary:

Now On Demand

Income seeking investors may still face many macroeconomic headwinds in 2023 – including inflationary pressures, the Federal Reserve’s monetary policy outlook, and the struggle to maintain their purchasing power.

Nevertheless, there are strategies that go beyond traditional income-oriented investments to help investors surmount these challenges. In this upcoming webcast, NEOS Investments and RIA Channel will highlight tax-efficient, monthly income strategies that could help financial advisors enhance their clients’ core asset allocations.

Topics will include:

  • Positioning client portfolios for success in 2023
  • A suite of ETFs that aim to offer high monthly income & tax efficiency
  • Practice management tips from a Barron’s Top 100 Advisor

Accepted for 1 CFP®/IWI/CFA CE Credit.

Speakers:
Troy Cates Troy Cates Co-Founder and Managing Partner NEOS Investments

Troy Cates has over 25 years of trading and portfolio management experience, with a vast knowledge of both the equity and options markets. He is the Co-founder and Managing Partner of NEOS Investments. Troy has helped create, launch, and manage numerous successful options-based ETFs and investment firms throughout his career. Troy served as a Managing Director at Harvest Volatility Management where he helped manage and trade the firm’s institutional portfolios and ETFs, along with guiding the development of the firm’s exchange traded products. Prior to Harvest, Troy served as Managing Director, Head of Trading and Portfolio Manager at Horizons ETF Management U.S. and has enjoyed roles as Partner and Head of Trading at Recon Capital where he oversaw portfolio management and trading for all of the firm’s investment funds.

Previously, he was an Executive Director at MKM Partners where he was an institutional execution trader and helped launch the firm’s equity derivatives desk. Troy started his career working as a market maker at Spencer Trask, a NYC based venture capital firm. He holds a B.S. in Business Administration from SUNY Albany.
Bruce K. Lee Bruce K. Lee Founder & CEO Keebeck Wealth Management

Bruce is the Founder of Keebeck Wealth Management, and the source of its namesake. Keebeck, Bruce’s given name by his first generation US immigrant parents, means “to ascend.”

As a Wealth Advisor, Bruce draws on his extensive knowledge of multi-generational wealth creators to determine the role an advisor can serve in a client relationship. With 33 years of investment experience alongside some of the worlds largest financial institutions. Bruce leads Keebeck Wealth Management with a vision of empowering clients through a transition of being the CEO of their company to becoming CEO of their capital.

In the past, Bruce was named to the Barron’s “Top 100 Financial Advisors” list every year since 2007, the Barron’s “Top 1,200 Financial Advisors” list in 2015, 2016, 2017, and 2018 and the Financial Times’ “Top 400 Financial Advisors” in 2014.

Bruce serves on the Board of Trustees for The University School of Milwaukee, and formerly served on the board of the John G. Shedd Aquarium, and The DuPage Community Foundation. Bruce and his wife, Jennifer, along with their two daughters, Mia and Lauren, live in Chicago, Illinois.
Keith Black, Ph.D., CAIA, CFA, FDP, CDAA Keith Black, Ph.D., CAIA, CFA, FDP, CDAA Moderator RIA Channel

Keith Black is an award-winning author and course designer who specializes in making complex topics accessible to audiences of varying sophistication. He currently serves as the Managing Director of Education for RIA Channel.

His thirty years of experience are split between time as an academic and as a trader and consultant to institutional investors. In his previous role as Managing Director of Content Strategy at the CAIA Association, he was a co-author of the second, third, and fourth editions of the level I and II CAIA curriculum on alternative investments.

At Ennis Knupp + Associates, Keith advised foundations, endowments and pension funds on their asset allocation and manager selection strategies in hedge funds, commodities, and managed futures. Prior experience includes commodities derivatives trading, stock options research and Cboe floor trading, and building quantitative stock selection models for mutual funds and hedge funds.

Dr. Black previously served on the faculty of the Illinois Institute of Technology and is currently an adjunct faculty member at the University of Massachusetts, Amherst, where he teaches courses on investment consulting and investing in cryptocurrencies and digital assets.

He has published sixteen refereed journal articles and contributed to eight books. He has contributed to the CFA Digest, and has published in The Journal of Wealth Management, The Journal of Trading, The Journal of Investing, and The Journal of Alternative Investments, among others. Dr. Black was named to the Institutional Investor magazine’s list of “Rising Stars of Hedge Funds”.

Dr. Black earned a BA from Whittier College, an MBA from Carnegie Mellon University, and a PhD from the Illinois Institute of Technology. He has earned the Chartered Financial Analyst (CFA) designation and was a member of the inaugural class of both CAIA and FDP Charterholders.
Disclosures:

This complimentary webcast is for financial professionals only and is closed to the public.

Investors should carefully consider the investment objectives, risks, charges and expenses of Exchange Traded Funds (ETFs) before investing. To obtain an ETF's prospectus containing this and other important information, please call (866) 498-5677 or visit https://neosfunds.com. Please read the prospectus carefully before you invest.

An investment in NEOS ETFs involve risk, including possible loss of principal. The equity securities purchased by the Funds may involve large price swings and potential for loss.

The use of derivative instruments involves risks different from, or possibly greater than, the risks associated with investing directly in securities and other traditional investments. These risks include (i) the risk that the counterparty to a derivative transaction may not fulfill its contractual obligations; (ii) risk of mispricing or improper valuation; and (iii) the risk that changes in the value of the derivative may not correlate perfectly with the underlying asset, rate or index. Derivative prices are highly volatile and may fluctuate substantially during a short period of time. The use of leverage by the Fund, such as borrowing money to purchase securities or the use of options, will cause the Fund to incur additional expenses and magnify the Fund’s gains or losses. The earnings and prospects of small and medium sized companies are more volatile than larger companies and may experience higher failure rates than larger companies. Small and medium sized companies normally have a lower trading volume than larger companies, which may tend to make their market price fall more disproportionately than larger companies in response to selling pressures and may have limited markets, product lines, or financial resources and lack management experience. The funds are new with a limited operating history.

The information on this website does not constitute investment advice or a recommendation of any products, strategies, or services. Investors should consult with a financial professional regarding their individual circumstances before making investment decisions. NEOS Funds or its affiliates, nor Foreside Fund Services, LLC, or its affiliates accept any responsibility for loss arising from the use of the information contained herein.

NEOS ETFs are distributed by Foreside Fund Services, LLC.