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Join Brad as he interviews entrepreneurs and experts in the wealth management industry, specifically around ETFs, on a weekly basis. Together, they go Behind the Ticker and delve into what drives these professionals on a daily basis. Discover how they achieved their success, learn about opportunities for disruption in the industry, and explore the challenges and obstacles they've faced along the way. Get ready for insightful conversations that uncover the stories behind the successes in wealth management.
93 Episodes
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In the episode of "Behind the Ticker," Brad Roth and Weldon Rice from Qraft Technologies discuss the integration of artificial intelligence within the investment landscape, particularly through Exchange-Traded Funds (ETFs). This conversation provides a detailed look at how Qraft applies AI to develop and manage ETFs, offering insights into the practical implications and methodologies behind AI-driven investment strategies. Weldon Rice introduces two specific ETFs during the discussion: the QR...
Special Live From Exchange ETF Series In this live and in-person episode of "Behind the Ticker," host Brad Roth welcomes Keri Riemer and Hazel Doyle to explore the evolving landscape of Exchange Traded Funds (ETFs) from both a U.S. and European perspective. This engaging conversation offers a deep dive into the intricacies of ETFs, their legal frameworks, and the burgeoning growth within the industry. Keri Riemer, with a rich background in corporate law, asset management, and regulatory role...
In this conversation, Brad interviews Todd Rosenbluth, an industry veteran and current member of VettaFi. They discuss Todd's background, VettaFi's business, and the upcoming Exchange conference. Todd shares his insights on the future of the ETF industry and offers advice for new ETF issuers. The conversation highlights the collaborative nature of the ETF community and emphasizes the importance of ongoing engagement and communication. Todd provides information on where to learn more about Vet...
Ragen Stienke, founder of Ballast Asset Management, joined the Behind the Ticker podcast to discuss his 30+ years of experience in small and mid-cap investing. Ragen got his start in the 1990s at Arthur Anderson's business valuation group before working at UBS and later founding a SMID strategy at Westwood. In 2015, he started Ballast focused on small and mid-caps, offering both SMAs and their Small/Mid Cap ETF called MGMT. Ragen aims to turn alpha generation into a process focused on quantif...
Episode 23 of Behind the Ticker features guest Steve Cook, Head of ETFs at Harbor Capital Advisors. Join us as we discuss Harbor's suite of ETF products and the commodity ETF Hedger (ticker: HGER). In this episode, Steve provides background on his experience in the ETF industry and Harbor Capital's evolution into the ETF space. He discusses Harbor's manager vetting process and bringing unique active strategies to the ETF wrapper. Steve then dives into the motivation behind launching HGER, e...
In this episode of Behind the Ticker, we sit down with Katie Stockton, founder and managing partner of Fairlead Strategies, to delve into the philosophy and mechanics behind the TACK investment strategy and explore the offerings of her firm. With her vast experience and a unique perspective on market trends, Stockton discusses the foundations of technical analysis that underpin the TACK strategy. She elaborates on the importance of a disciplined, long-term approach, emphasizing how TACK's met...
In Episode 20, we feature Paul Weisbruch from GTS, a prominent player in the financial industry. GTS specializes in trading over 30,000 different financial instruments globally, catering to a diverse clientele that includes leading financial institutions and public companies. Their approach is built on state-of-the-art proprietary technology and a team of seasoned professionals, which allows them to offer execution and liquidity solutions, even during volatile market conditions. As one of the...
In Episode 19, we welcome Kyle Wiggs, the founder and CEO of UX Wealth Partners, a platform known for its utilization of Artificial Intelligence and Machine Learning in investment technologies. This episode provides insights into the services and technologies offered by UX Wealth Partners to Registered Investment Advisors (RIAs). We explore how UX Wealth Partners employs its technology to offer solutions that go beyond traditional asset management platforms, providing tools and resources aime...
In Episode 18, we're joined by John Davi and Frank Tedesco from Astoria Advisors, who have just introduced their second ETF, ROE - US Quality Kings. We delve deep into the current state of the U.S. stock market and explore the intricacies of the ROE strategy. Astoria's US Quality Kings ETF is an actively managed Exchange Traded Fund (ETF) designed to pursue long-term capital growth. It achieves this by investing in a well-diversified portfolio of 100 high-quality U.S. large-cap and mid-cap st...
Episode 17 showcases Elysabeth Alfano, an influential figure in the world of food systems transformation. She is the founder and CEO of VegTech™ Invest, advisor to the Plant-based Innovation & Climate ETF, EATV. Elysabeth’s journey began with invaluable experience at Fortune 500 companies such as IBM-Europe and The Kellogg company, as well as being Chief Investment Officer for a small family office. Focused on both growth and impact, the EATV ETF invests up and down the food s...
Introducing Ryan Pannell, CEO of Kaiju ETF Advisors. Ryan Pannell is the focus of Episode 16, where he talks about his journey from pioneering cryptographic web-based messaging technologies to becoming a professional equities trader. With a background in theoretical physics, quantum mechanics, cosmology, film, and television, Ryan has a unique perspective on investment management and the applications of artificial intelligence in scientific trading. Kaiju Worldwide, founded by Ryan, manages...
Episode 15 of Behind the Ticker features Alejandro Garza, the Founder and Portfolio Manager of Aztlan Equity Management. Alejandro is the portfolio manager behind the Aztlan Global Developed Markets SMID Cap Strategy ticker AZTD. AZTD is Atzlan’s stock selection ETF, a unique rules-based strategy that selects the top 27 stocks based on fundamental factors. AZTD uses a proprietary 6-factor fundamental model to assign stock rankings: cash flow generation, value, growth, capital structure qualit...
Episode 14 features David Schulhof the CEO and Portfolio Manager of MUSQ, The Global Music Industry ETF. David is an American music industry executive and investor with 25 years of experience in the field. David’s background in the music industry is extensive, having previously served as President of Music Publishing at LiveOne, a global media company for livestream and on-demand audio, video and podcast content. He is also the former President of Music at AGC Studios and IM Global Stud...
Episode 13 features Adam Eaglston, the Chief Investment Officer of Formidable Asset Management. Formidable is an active and adaptable financial services company. They employ a disciplined process and build client portfolios and develop financial plans. The Firm also manages a hedge fund the 'Formidable Fund' which is a multi-strategy fund. In this episode we discuss their Formidable ETF, ticker FORH. The fund is an active multi-strategy equity portfolio that also deploys a hedging component t...
In this Episode we talk with Neil Azous founder of Rareview Capital. Rareview Capital works with advisors to help develop systematic and differentiated strategies using their goals based approach. Neil heads the firm’s investment team and oversees all portfolio and risk management activities. Neil also serves as a Portfolio Manager for the Rareview ETFs. We focused on the Rareview Systematic Equity (RSEE) and Rareview Dynamic Fixed Income (RDFI). Their unique systematic approach to investing ...
Episode 11, features John Forlines III, the Chief Investment Officer of Donoghue Forlines. Donoghue Forlines is a tactical investment firm that has specialized in risk-managed portfolios since 1986. Donoghue Forlines has a suite of ETFs that utilize technical indicators to recognize shifts in market momentum and uses proprietary tactical signals to help preserve capital in down trending markets and potentially offer strong client-centric risk-adjusted returns over a full market cycle. John sp...
In Episode 10, we welcome John Davi, the Founder of Astoria Advisors. Astoria Advisors maintains a variety of strategies for investors to utilize. Among these are Core Risk Based ETF Strategies, Thematic ETF & Stock Strategies, and Factor US Stock Strategies. Astoria also manages an Inflation Protected ETF under the ticker PPI. The portfolio aims to invest in “inflation-sensitive” assets that can help investors limit inflation risk and provide lower correlations to traditional assets, esp...
Welcome to episode 9 of Behind the Ticker. In this episode, our special guest is Michael Gayed, the portfolio manager of $RORO and $JOJO and Founder of ATAC Funds. We have an in depth conversation about what led him to investing, his career path, and starting his first funds. We also talk about the unique investment thesis behind his ETFs and how he envisions them being utilized in model portfolios. As an industry veteran, we dive into what it's like to manage money through different cycles a...
Welcome to episode 8 of Behind the Ticker. In this episode, our special guest is Mike Venuto, the portfolio manager of $BLOK and co-founder and CIO at Tidal. $BLOK holds the distinction of being the first-ever blockchain ETF to hit the market. Join us as we delve into the evolving landscape of ETFs, exploring the rise of active ETFs, the conversion of mutual funds to ETFs, and the transformative impact of blockchain on the industry. With Mike's extensive experience in bringing ETFs to market ...
Introducing Dan Cupcovic, the Portfolio Manager behind BlackSwan's strategy. Discover how this partner at Cerity Partners, one of the largest RIAs in the country, is revolutionizing investments with SWAN, ISWN, and QSWN ETFs. Whether you're looking for a short-term risk-off play or a smart capital allocation for the long haul, this is the podcast you don't want to miss. To learn more about Dan and BlackSwan, visit https://amplifyetfs.com/swan/
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