Private Placement Investment In Insurance Products

March 26, 2020 @ 4:00 PM EST

In this high-energy, interactive session, workshop participants will first learn a little about the history of fiduciary precedence and how they apply to an Insurance Dedicated Fund (IDF). This overview includes a review of US Supreme Court rulings on certain fiduciary matters, the SEC “Best Interest” Standard, and the Duty of Care’s Three “Cs” (Cost; Complexity; and Conflicts of Interests).

The presenter transitions to investment vehicle selection and why IDFs are an ideal chassis for portfolio managers. The presenter then highlights how the IDF chassis counters the adverse tax effects of certain high-turnover strategies. Finally, the presenter details and reviews costs associated with commonly used tail-risk protection and how a tactical equity strategy (volatility management) seeks to further enhance a portfolio’s performance. The presentation closes on how Private Placement Variable Annuities (PPVAs) represent a return to variable annuity’s origin.

The Webinar is eligible for one-hour of continuing education (CE) credit for Certified Financial Planners – CFP®.


Rick Roche, CAIA Presenter Bio

Little Harbor Advisors, LLC

The presenter, Rick Roche, CAIA, is a Managing Director at Little Harbor Advisors, LLC. Little Harbor Advisors is a Boston-area sponsor of alternative investment strategies. Mr. Roche is a 39-year veteran of the investment management industry.

Rick earned a Chartered Alternative Investment Analyst (CAIA) charter in 2014 and holds Series 3, 7, 63 and 65 licenses. Rick is a member of the Society of Quantitative Analysts (SQA), QWAFAFEW-Boston and the New York Alternative Investment Roundtable (NY-AIR). He was elected at age 24 to the Massachusetts House of Representatives and served two terms.

Little Harbor Advisors and its affiliates do not provide tax, legal or accounting advice. This material has been prepared for informational purposes only, is not investment advice, and is not intended to provide, and should not be relied on for tax, legal or accounting advice.


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