2020 Award Finalist

  • Hercules is recognized as an industry leader by its peers
  • Index Trend Reversal
  • Gamma Yield
  • S&P; 500 Correction Retracement

WealthManagement.com Industry Awards Finalists Were Announced on June 16, 2020 and Hercules Investments was selected as a finalist for the Alternative Asset Manager of the Year.

The awards program received 625 nominations from 221 companies this year. A panel of independent judges pulled from different corners of the wealth management space selected the initiatives they felt had the most relevance and impact, and they will select the winner in each category to be announced in the fall.

For the first time, special Editorial Awards will be handed out at the event recognizing Deal of the Year, Story of the Year, Executive/Person of the Year and Lifetime Achievement, as decided upon by the WealthManagement.com editorial staff.

“The near record-breaking number of nominations and companies that participated this year—at a time when many firms were preoccupied with the economic crisis, a global health pandemic and adjusting to a new virtual work environment—is a strong testament to the value that firms place in the awards as a way to enhance their reputation, increase their brand recognition and set their organization apart from the competition,” said WealthManagement.com Managing Director William O’Conor.

Several companies are finalists in more than one category. TD Ameritrade, whose acquisition by Charles Schwab is slated to close toward the end of this year, is a finalist in five categories for large RIA custodians, including for corporate social responsibility and technology (for upgrades to the VEO One platform.) Schwab Advisor Services is a finalist in three categories and will face off against one-time rival TD Ameritrade in the practice management category.

Fidelity is a finalist in four categories, including two for large custodian, as well as asset management and family office initiatives.

Other multiple nominees include Morningstar, a finalist in 11 categories across asset management, research providers and technology; eMoney, a finalist in six technology categories, and Envestnet, a finalist in four categories, including socially responsible investments for its Impact Quantitative Portfolios.

Cetera Group and Advisor Group each have four nominations for large independent broker/dealers, while LPL is a finalist in three categories, as is Bank of America Merrill Lynch.

For asset managers, Ark Investment Management is a finalist in three categories, including its innovation suite of ETFs as well as Sebastian Benkert for chief marketing officer of the year. Other multiple finalists in asset management categories include 361 Capital, Guggenheim Investments, Janus Henderson Investors, John Hancock Investment Management, First Ascent Asset Management and Just Invest.

WealthManagement.com also announced that the major in-person activities recognizing this year’s finalists and winners will all be held as virtual events—including the Sept. 10 awards presentations and the Technology Roundtable traditionally held in New York City. “The health and safety of our staff, colleagues and business partners is our top priority,” O’Conor said. “By going virtual, we’re envisioning an awards event that in many ways will be like the Golden Globes meets the NFL Draft—making this year’s program bigger, better and more exciting than ever.”

The traditional afternoon technology roundtable for C-suite executives this year will become the Wealthies Digital Forum, a virtual event held Sept. 24 that explores the current state and future direction of advisor technology. The new digital format will offer expanded panelist opportunities, a much larger audience, and increased marketing and promotion for finalists, winners and sponsors. Additional Digital Forum discussions on asset management and marketing are planned for the fourth quarter of 2020.

New this year will be the introduction of the Wealthies Circle, a digital content platform meant to provide finalists and winners with year-round exposure to the WealthManagement.com community of 435,000 financial professionals both for their initiatives as well as broader content from the firm.

The 2020 Wealthies Virtual Awards event will take place Sept. 10, and the Wealthies Digital Forum will be on Sept. 24.


Index Trend Reversal

The ITRS is a quantitative, rules-based, short-term options strategy for investors seeking aggressive growth. It is a market-neutral strategy, equally deployable in bull and bear markets. The strategy trades calendar events such as U.S. economic releases and Federal Reserve meetings, among others. The strategy presumes that specific past behaviors of market participants will periodically recur.

The strategy uses historical data to detect and act upon the recurrence of tradable behavioral patterns within data. The strategy seeks to profit from intra-day and intra-week price trend reversals on US equity indices such as the S&P; 500, The Russell 2000, and the NASDAQ 100. Indices represent broad market segments, and offer improved predictability of price behavior, largely free from idiosyncratic movements unique to individual stocks. The strategy holdings are typically held for very short periods. Most positions coincide with U.S. economic announcements such as GDP, ISM, CPI, Employment, Fed. days, etc.

The strategy is tailored for accredited investors with a high risk tolerance while seeking aggressive growth, and optionally desiring maximum liquidity. The strategy can be used standalone in a portfolio or a risk hedging overlay to other portfolio strategies due to its low correlation to most others.

Gamma Yield

Gamma Yield is a very short-term options put and call writing strategy for investors seeking aggressive growth. It specifically focuses on the unique risk characteristics of options on their day of expiration. The strategy looks to extract the remaining non-intrinsic value remaining in the option price as the time value of the option approaches zero.

The strategy restricts itself to the use of equity index options in taking broad market risk exposure. The strategy leverages the Index Trend Reversal model in identifying trade opportunities.

The strategy is suitable for accredited investors with a high risk tolerance while seeking aggressive growth, and optionally desiring maximum liquidity. The strategy can be used standalone in a portfolio or a risk hedging overlay to other portfolio strategies due to its low correlation to most others.

S&P; 500 Correction Retracement

The S&P; 500 Correction Retracement is a tactical trade strategy that capitalizes on the conclusion of the record 133 month Bull Market which began at the conclusion of the 2008 financial crisis in March of 2009.

The trade is based on the premise that the impressive April 2020 rally in US equities (and their indices,) following an unprecedented March selloff, will be short lived for numerous unrecognized fundamental reasons.

Systematic Volatilities
Market volatility from recessions and financial crises have historically hurt investors’ portfolio returns and financial goals. However, through alternative strategies like Hercules Systematic Volatility Strategies, investors have at their disposal, a highly liquid source of all-weather return that benefits from market uncertainty.

For questions about our hedge fund strategies or any related topic, please contact our advisory team at [email protected] and one of our investment advisors will address them. The team at Hercules Investments seeks to gain your trust in meeting your investment goals and looks forward to having you as our client.
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