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Cboe RIA Forums

Implementation of Options-Based Strategies by Financial Advisors

November 7, 2017 | New York City


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, November 7, 2017
Time: 12:00 – 5:45 pm
Where: Grand Hyatt New York, 109 E 42nd Street, New York, NY 10017 (Park Avenue at Grand Central Terminal)

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).


12:00 – 12:45 (45 min)

Registration and Lunch

12:45 – 1:45 (60 min)

Ten Years After the Financial Crisis

David M. Blitzer, Managing Director and Chairman of the Index Committee, S&P Dow Jones Indices (S&P DJI)

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

Mike Cameron, Head of Investor Relations, Carmika Partners
David Jilek, Chief Investment Strategist, Gateway Investment Advisers, LLC
Ken Kwalik, Managing Director, Harvest Volatility Management
Defina Maluki, Chief Investment Officer, Managing Partner, Sagewood Asset Management LLC

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: Chris DeMeo, FSA, CFA, Founding Partner, Nu Paradigm Investment Partners, LLC

Brian Altenburg, PhD, Managing Partner and Co-Founder, Highmore Group Advisors
Matt Brennan, Vice President, Structured Solutions, CAIS
Jeff Laffond, Senior Investment Analyst, Manchester Capital Management

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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