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How To Prepare For Volatile Markets

The last few years have been a relatively calm period for the US stock market, with few of the large swings that characterized markets during the financial crisis and the subsequent few years. But if the start of this year is any indication, 2016 may be more turbulent. What should you do with your investments to protect yourself from that possibility? The answer might actually be “nothing.” The first few days of a year don’t necessarily predict how the rest of the year will turn out. And larger market moves don’t necessarily mean you should make any changes to your portfolio. Markets go up and down all the time, and taking no risk with your investments would mean you wouldn’t have the chance to achieve more than meager returns. But if you are worried about market volatility, there are a number of ways to try to combat it, some more advisable than others. One way to try to protect yourself is to directly bet on volatility so that you’ll profit if markets become more tumultuous. These types of bets typically involve complex financial products such as options or exchange-traded products based on an index of stock market volatility. While betting on volatility can work in the short term if you guess correctly, it’s generally a terrible long-term strategy. For example, the iPath S&P 500 VIX Short-Term Futures ETN (NYSEARCA: VXX ), one of the exchange-traded products tied to volatility, has lost more than 99% of its value since early 2009. Unless you fully understand how these types of products work and the unique risks involved, betting directly on volatility probably isn’t a good idea. A second way to try to counteract stormy markets is to shift some of your stock allocation into “low-volatility” funds. These investment products have proliferated in recent years and hold stocks that historically have had been less volatile. These funds can indeed help reduce the impact of choppy markets, but there’s no guarantee that the stocks that historically bounced around less will outperform during any one future period of stock market instability. It’s also worth considering that some of these funds may shift your exposure not just toward less-volatile individual stocks, but also more broadly to less-volatile market sectors (such as utilities). Changing your sector exposure isn’t necessarily good or bad, but it’s something to be aware of if you’re thinking about low-volatility funds. Perhaps the simplest way to prepare for market turbulence is simply to shift some of your allocation in higher-risk investments (such as stocks) into lower-risk investments (such as bonds). Shifting your allocation doesn’t mean completely abandoning stocks – you don’t want to make it impossible to achieve your financial goals if stocks actually perform well – but rather, making slight adjustments so that you’re more comfortable with how your portfolio is positioned. After all, if the possibility of more volatile markets is keeping you awake at night, that might be a sign that your portfolio isn’t properly calibrated to your risk tolerance.

‘We Front-Loaded An Enormous Stock Market Rally’

Richard W. Fisher served as the President of the Federal Reserve Bank of Dallas for more than a decade (2005-2015). His appearance on CNBC this week offered remarkable insight into why voting members on the Federal Reserve Open Market Committee (FOMC) embraced zero percent rate policy as well as quantitative easing (QE) for so many years. One of the most controversial statements? Fisher candidly admitted, “What the Fed did, and I was part of it, was front-loaded an enormous market rally in order to create a wealth effect.” He did not say that the Fed sought to achieve maximum employment. He did not bring up inflation targeting or stable prices either. Rather, one of the world’s most influential people in any room acknowledged that the Fed wanted to push stocks higher to make participants feel wealthier. How was this wealth effect supposed to benefit workers? Or promote stable rates of inflation? Presumably, when people feel wealthy, they spend more. When they spend more, corporations see more revenue from the goods and services that they provide. When companies achieve better top-line and bottom-line results, executives express greater confidence by adding new employees. When an increasing number of workers find jobs, unemployment falls to lower and lower levels until, eventually, maximum employment spurs wage growth and desirable levels of inflation. That was the plan. However, there have been several problems with the Fed’s wealth effect ambitions. For one thing, keeping borrowing costs so low for so long primarily benefited those who were already in decent shape. Wealthier folks have super-sized stakes in the stock market and were able to increase the value of their portfolios substantially; less wealthy folks have seen erosion in real (inflation-adjusted) household income – money that most live month-to-month on. Those in the highest marginal tax brackets were able to add to their real estate holdings. In contrast, very few families in the middle or lower-middle class had the resources to acquire short sales or foreclosures. Another problem with the Fed’s wealth effect agenda? Corporations leveraged themselves to the hilt. Borrowing money on the “ultra-cheap” allowed them to buy back copious amounts of stock shares. That helped shareholders of those stocks, but it did not bring back labor participation rates to pre-recession levels. The all-important 25-54 year-old demographic is still hemorrhaging workers. Corporations never really went on the anticipated hiring binge. Instead, they went on a seven-year stock buying spree with the Fed’s easy money. Total debt levels have doubled since 2007. And while the average interest rate paid on corporate debt has declined, interest expense has risen dramatically. Do we even want to ruminate about what will happen if the Fed pushes borrowing costs up appreciably in 2016 and 2017? As it stands, corporations already need to allocate significantly more net income toward servicing the interest on existing loans. So Richard Fisher acknowledged what many people believed all along. Specifically, the Fed’s primary goal since the banking crisis in 2008 has been to push stock and real estate markets to new heights. In doing so, they hoped that the wealth effect would indirectly achieve its dual mandate of stable prices and maximum employment. Of course, when you front-load an enormous stock market rally, won’t stock prices reach exorbitant valuation levels? Is there a painful period of reckoning on the back side? Did anyone at the Fed consider what history teaches us about overvalued stock markets and overvalued real estate markets? Mr. Fisher may not have given the questions much thought during his tenure his tenure on the FOMC. However, he revealed his current thinking to CNBC: These markets are heavily priced. They are trading at 19.5x earnings without having the top-line growth you would like to have. We are late in the cycle. These [markets] are richly priced. They are not cheap. I could see a significant downside. I could also see a flat market for quite some time, digesting that enormous return the Fed engineered for six years. Obviously, the former President of the Dallas Fed cannot predict market direction. Nobody can. And one might argue that a monetary policy wonk does not a valuation guru make. On the other hand, Fisher’s valuation concerns may have merit. For S&P 500 operating earnings of $106.4 (12/31/15) to reach current year-end estimates of $125.6, they would need to grow 18%. At $125.6 and the S&P 500 at 1950, the Forward P/E becomes 15.5. Yet analysts have been ratcheting down expectations from 10% earnings growth to 7.5%. (And in 2015, growth flat-lined entirely). If one generously accepts the wisdom of analysts at 7.5% operating earnings growth, and the S&P 500 at 1950, the Forward P/E on a year-end estimate of $114.4 becomes 17. The 35-year average Forward P/E is 13.2. That’s right. Even after January’s stock carnage that has seen the S&P 500 crater 100 points from 2043 to 1943, the stock market is still pricey. Reverting to the average Forward P/E would require operating earnings to reach $114.4 at year-end AND the S&P 500 to sink to roughly 1515. That would be in line with a typical bear market descent of 28.9% from the peak (2130). Valuation concerns notwithstanding, there’s little doubt that the Fed did indeed front-load an enormous market rally. Here’s how easy it is to tell. Take a peek at how the Vanguard Total Market ETF (NYSEARCA: VTI ) fared as it relates to the Fed’s acquisition of bond assets with electronic dollar credits (a.k.a. “QE”). Specifically, in mid-December of 2012, the U.S. Federal Reserve upped its QE3 program to $85 billion per month in the acquisition of U.S. treasuries and mortgage-backed securities. The program began winding down in 2014 during the “Great Taper,” though the final day of the last asset purchase actually occurred in mid-December of 2014. The 2-year performance for VTI? Approximately 52%. Now visualize what transpired when the Fed officially removed its QE3 stimulus. Through 1/7/16, there has been a whole lot of risk and volatility. There hasn’t been a whole lot of reward. Surprising? Not particularly. In fact, “risk-off” treasury bonds via the iShares 7-10 Year Treasury Bond ETF (NYSEARCA: IEF ) have outperformed “risk-on”stocks since the end of the Fed’s QE. Disclosure: Gary Gordon, MS, CFP is the president of Pacific Park Financial, Inc., a Registered Investment Adviser with the SEC. Gary Gordon, Pacific Park Financial, Inc, and/or its clients may hold positions in the ETFs, mutual funds, and/or any investment asset mentioned above. The commentary does not constitute individualized investment advice. The opinions offered herein are not personalized recommendations to buy, sell or hold securities. At times, issuers of exchange-traded products compensate Pacific Park Financial, Inc. or its subsidiaries for advertising at the ETF Expert web site. ETF Expert content is created independently of any advertising relationships.

6 ETFs To Play In Q1

The year 2016 unfolded amid a myriad of woes and huge uncertainty. The woes stemmed mainly from the developed foreign economies due to growth issues and uncertainties in the homeland emanating from the speculation over the speed and quantum of the Fed rate hike throughout 2016. The Fed enacted a meager hike at the tail end of 2015 and as of now, the investing world is expecting four more hikes in 2016, if everything goes well. However, things could change any point of time along with global or domestic market occurrences (read: ETF Tactics for a Rate-Proof Portfolio ). The broader global indices were mostly in red in 2015 snapping the bull market trend seen in earlier years. Now, all eyes will be on how the year 2016 fares on the bourses. Let’s not move too further ahead and instead focus on the prospective ETF winners of the first quarter of 2016. To do this, we have relied on both seasonality of the asset class and the earnings performance of the equity sectors. iShares U.S. Financials ETF (NYSEARCA: IYF ) The operating environment for financial companies is presently benign thanks to the Fed liftoff. In a rising rate environment, financial companies’ net interest margin should also rise. In any case, U.S. banks are in a better shape right now (read: Guide to the 7 Most Popular Financial ETFs ). Finance is expected to be a growth driver in the fourth-quarter 2015 earnings season which is already underway. The sector is expected to score the second-best earnings growth of 6.8%. Finally, as per Equity Clock, the financial sector, especially the banks, enjoy seasonality in the first quarter of every year. iShares Transportation Average ETF (NYSEARCA: IYT ) Equity Clock also reveals that the first quarter is beneficial for airlines and railroads with seasonality kicking in from the end of January and extending till early May. Plus, stepped-up economic activities and cheap fuel are still there to drive up transportation stocks. The transportation sector is expected to report 12.1% growth in earnings on just a 1% decline in revenues. One way to play this trend is with IYT. The ETF tracks the Dow Jones Transportation Average Index, giving investors exposure to a small basket of close to 25 securities. Utilities Select Sector SPDR ETF (NYSEARCA: XLU ) Gas utilities are normally in demand in the cold-stricken first quarter. Though utilities are likely to be on the downside following the Fed liftoff, but no material hike in the long-term interest rates since then made the sector a winner last one month compared with several glamorous and in-vogue sector ETFs like the Consumer Discretionary Select Sector SPDR ETF (NYSEARCA: XLY ) and the Technology Select Sector SPDR ETF (NYSEARCA: XLK ) . The fund added 0.3% in the last one month (as of December 31, 2015) while XLY and XLK were down over 4.2% and 3.4%, respectively, during the same timeframe. Market Vectors Retail ETF (NYSEARCA: RTH ) According to Equity Clock , seasonal strength for the consumer discretionary sector stretches from October 17 to April 12. The sector is expected to post earnings growth of 2.4% in Q4, much better than the consumer discretionary sector’s expected earnings decline of 4.8%. Its sales expectation is also steady at 6.4% for Q4, again better than 1.4% growth expected from the consumer discretionary space. More jobs and cheaper fuel should help these sectors to grow. PowerShares DB USD Bull ETF (NYSEARCA: UUP ) The greenback is yet another asset which enjoys the tailwind of seasonality in the first quarter, per analysts. In any case, this U.S. dollar ETF lost over 1.2% in the last one month (as of December 31, 2015) giving the product a leeway for rally. The key logic behind the ascent as per Investopedia is that investors must have repatriated money at the yearend, resulting in a weaker dollar and then again bet on the dollar in the New Year. Also, in 2016, the U.S. dollar should have one more reason – U.S. policy tightening – to celebrate. iShares Russell 2000 ETF (NYSEARCA: IWM ) Small-cap stocks are the barometer of domestic economic health. So, when the U.S. economy shifted gear in December and experienced policy normalization, most eyes moved to small-cap stocks in order to cash in on the U.S. economic growth momentum. Plus, Russell 2000 has a history of rallying in January and February, as per Equity Clock. In any case, if dollar gains strength, investors will definitely bet on small-cap stocks as larger caps are more vulnerable to the dollar strength. Link to the original article on Zacks.com