Cboe RIA Forums

Implementation of Options-Based Strategies by Financial Advisors

December 12, 2017 | Chicago


How to Manage Downside Risk, Improve Risk Adjusted Returns, and Enhance Yields using Options-based Strategies.

Registration is now closed for this event.


Date: Tuesday, December 12, 2017
Time: 12:00 – 5:45 pm
Where: Cboe Options Exchange, 400 South LaSalle Street, Chicago, IL 60605

This half-day event includes presentations from leading industry practitioners including Portfolio Managers, ‘40 Act Fund Providers, Cboe and an RIA Panel Roundtable Discussion moderated by the Options Industry Council (OIC). Participants are also welcome to a tour of the Cboe trading floor and an opportunity to meet the speakers at lunch.


11:45 – 12:45

Registration and Lunch

11:45 – 12:15 - Floor Tour

12:00 – 12:45 - Buffet Lunch

12:45 – 1:45 (60 min)

The Big Picture of Small Caps

Tom Goodwin, Senior Research Director, FTSE Russell

1:45 – 2:00 (15 min)


2:00 –2:30 (30 min)

Primer on Options Strategies and Options-Based Strategy Benchmarks

Paul Stephens, Vice President, Cboe

2:30 – 3:30 (60 min)

Asset Manager Perspectives on Options-Based Strategies

Moderator: Paul Stephens, Cboe

Michael Davis, Portfolio Manager, Rampart Investment Management
Justin Lent, Portfolio Manager, Stratifi
Eric Metz, Chief Investment Officer, Spiderrock Advisors
Mark Sebastian, Chief Investment Officer, Karman Line Capital

3:30 – 3:45 (15 min)


3:45 – 4:00 (15 min)

Research by Cerulli Associates, “How Financial Advisors Use and Think about Exchange-Listed Options”

Eric Cott, Director, OIC

4:00 – 4:45 (45 min)

RIAs and Exchange-Listed Options

Moderator: Phillip J. Kosmala, Managing Director, Taiber Kosmala & Associates, LLC

Panelists: Ralph Drybrough, Managing Partner, Fort Point Capital Partners
Steven M. Rashis, Chief Strategist, M1 Capital Management
Frank McCannon III, CFP, CIMA, Senior Vice President, UBS Financial Service

4:45 – 5:45 (60 min)

Cocktails and Roundtable Discussions with Speakers

Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of Characteristics and Risks of Standardized Options (ODD). Copies of the ODD are available from your broker or from The Options Clearing Corporation, One North Wacker Drive, Suite 500, Chicago, Illinois 60606. The information on this website is provided solely for general education and information purposes and therefore should not be considered complete, precise, or current. Many of the matters discussed are subject to detailed rules, regulations, and statutory provisions which should be referred to for additional detail and are subject to changes that may not be reflected in the website information. No statement within the website should be construed as a recommendation to buy or sell a security or to provide investment advice. The inclusion of non-Cboe advertisements on the website should not be construed as an endorsement or an indication of the value of any product, service, or website. The Terms and Conditions govern use of this website and use of this website will be deemed acceptance of those Terms and Conditions.

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400 South LaSalle St
Chicago, IL 60605