The advantage of being able to reconstruct and verify historical track records has not been lost on a new crop of Investment Managers. Following are three new managers to Theta as well as an existing Manager with a new strategy: J. Stuart Kruse, CFA, MBA, CEO and Founder of Kruse Asset Management is a new Theta Manager based in Chicago, IL. Stuart’s strategy is known as the KAM Quantitative Value Portfolio, or QVP for short. Theta Research has independently verified the KAM QVP track record back to its inception in May of 2007. Another new Investment Manager is James P. O’Mealia, founder of Sunnymeath Asset Management, Inc. of Red Bank, NJ. Sunnymeath has enlisted Theta to track its All-Cap Value Equity model. Theta has documented and verified Sunnymeath’s strategy back to its inception in April of 2012. Douglas S. MacKay, CFA and William F. (Bill) Hoover are principals of Broadleaf Partners, LLC in Hudson, OH. Broadleaf has submitted its Growth Equity Portfolio for tracking by Theta Research. Theta has reconstructed and verified the Growth Equity Portfolio track record back to its inception of March 1, 2010. Current Theta Investment Manager, Brian Boughner, co-founder of Parallel Financial Partners has added another strategy to be tracked by Theta. The Value Plus Strategy is a new model and Theta has established tracking as of its inception date of September of 2016. NAAIM Announces its 2016 Outlook Conference - The Impact of Technology on Marketing and Trading The National Association of Active Investment Managers (NAAIM) will hold its 2016 Outlook Conference on November 14 – 15 at the Dallas/Fort Worth Airport Marriott. November will be here faster than we know it. And with it will come a new president-elect, new congressional leaders and a host of other factors that could affect markets in 2017. Now is the time to consider those factors and what technology you may need to use just to keep up. Welcome to Outlook 2016, your place to come together with other leaders in the Investment Advisor community to tackle these tough questions - together. Information and Registration information for the NAAIM Outlook Conference.

The stock market’s volatility in 2016 has underscored the need for actively managed investment strategies in a diversified portfolio. In this issue of Theta News, we will introduce both an active strategy with more than ten years of actual track record as well as a new strategy that has been recently developed by an existing Theta Research Investment Manager. Speaking of long-term strategies, are you having a hard time finding managed account strategies with actual track records going back more than ten years? If so, you’ll be happy to know that there are more than two-dozen actively managed investment strategies on the Theta database with actual track records going back more than 10 years. And the list is growing all the time. While the buy-and-hold crowd claims that it’s impossible to beat the market over time, many of these strategies have done just that by employing active management strategies through the years. Another benefit of Theta Research is that we can often reconstruct long-term historical track records. Some Managers with long-term track records have not had the advantage of being tracked and verified since their inception. In many cases, Theta Research can reconstruct an actual track record using third-party brokerage or custodial statements. MDP Associates, highlighted below, is an excellent example of this advantage. MDP joined Theta in August of this year but had an actual track record going back to October of 2002. If you are an Investment Manager with a long-term track record that has not been independently verified, give us a call at (512) 628-5201, Option #1 to see if we can document your hard work. On the other hand, if you are an Investment Manager seeking out long-term performers, the Theta Research database may be just what you’re looking for. Just go to the Theta website at www.thetaresearch.com and follow the instructions for subscribing to the Theta database. I think you’ll be glad you did. Another New Strategy From an Existing Theta Investment Manager: Existing Theta Investment Managers Marty Kerns and Parker Binion of Kerns Capital Management in Houston, Texas have initiated tracking of their newest strategy, the KCM Valarian Strategies – Equity Exposure. This model is the latest in the KCM Valarian series of managed accounts and has been tracked by Theta Research back to its original inception date of May 1, 2016. A New Investment Manager Joins the Theta Database: New Investment Manager, Mark Pankin, Ph.D, founder of MDP Associates in Arlington, Virginia, has initiated tracking of his NDX Trading strategy. As mentioned above, Theta Research has independently documented and verified the actual performance of this model back to its original inception date of October 1, 2002.