Tag Archives: fund

Fund Watch: Balter And Natixis/ASG Prep New Funds

By DailyAlts Staff In this edition of Fund Watch, new fund filings for: Balter European L/S Small Cap Fund ASG Dynamic Allocation Fund Balter European L/S Small Cap Fund On September 15, Balter Liquid Alternatives filed a Form N-1A with the Securities and Exchange Commission (“SEC”) announcing its intent to launch its third mutual fund , the Balter European L/S Small Cap Fund. As is evident by its name, the new fund will take both long and short positions in small-cap European stocks, in pursuit of its objective of absolute returns. The fund is the successor to the S.W. Mitchell Small Cap European Fund, a hedge fund, which will transfer its assets to the institutional shares of the new fund upon its launch. S.W. Mitchell Capital LLP will continue to manage the fund as the sub-advisor. Typically, the Balter European L/S Small Cap Fund’s portfolio will consist of roughly 60 such stock positions, which may include both listed and non-listed equities; and the fund’s managers can also invest in debt securities, options, warrants, convertibles, and other derivatives. Its net-long exposure can be as great as 150%, and while its net-short exposure could rise to as much as 50%. The fund will have short positions at all times. The Balter European L/S Small Cap Fund’s predecessor fund has performance dating back to 2008. Its shares returned -6.5% that year, but then posted successive annual gains of 44.6% and 23.8% in 2009 and 2010. After losing 7.7% in 2011, the fund roared back with successive gains of 11.1% and 24.8% in 2012 and ’13, and then returned -0.5% last year. Shares of the new fund will be available in institutional and investor classes, with respective net-expense ratios of 2.24% and 2.54%. ASG Dynamic Allocation Fund Natixis Funds Trust II recently filed a Form N-1A with the SEC, announcing its plan to launch the ASG Dynamic Allocation Fund. The new fund’s objective will be long-term capital appreciation, with the protection of capital during unfavorable market conditions a secondary goal. It will pursue this end by means of dynamic tactical allocation across global markets and asset classes, overseen by investment advisor AlphaSimplex Group’s portfolio managers Alexander Healy, Robert Rickard, and Derek Schug. Healy, Rickard, and Schug will also be charged with the task of managing the fund’s annualized volatility, which is targeted at no more than 20%, as measured by the standard deviation of the fund’s returns. The fund will also use leverage, which will not exceed 200% of assets. Currently, ASG operates nine alternative mutual funds , including the ASG Global Macro Fund (MUTF: GMFAX ), which was launched in partnership with Natixis . That fund, which debuted on December 1, 2014, returned -3.45% in the first eight months of 2015, ranking in the bottom quintile of funds in its category. Over the three months ending August 31, the fund’s performance was better, in the top quartile, but still negative at -2.03%.

Are There Any ‘Safe’ CEF Bond Funds?

Investors looking for yield in the CEF bond space are often attracted to high-yield funds. But those aren’t the only options available. Here’s a trio of bond CEFs that don’t play the high-yield game—so much, anyway. The one thing that closed-end funds, or CEFs, do really well that open-end mutual funds don’t do so well is income. That’s true across multiple investment approaches, but particularly in the stock space, where high-yielding CEFs are very common. However, bond CEFs often have very high yields, too. In recent years the search for high-yields has drawn investors to the junk bond arena, an area that hasn’t fared so well lately. And, thus, the question I recently got from a reader: “Are there any high-quality bond CEFs around?” Treasuries The answer to that question is yes, there are. However, you’ll need to know what you are buying. For example, the Federated Enhanced Treasury Income Fund (NYSE: FTT ) invests essentially all of its assets in U.S. treasures. Those are ultra safe investments, giving it an average credit quality of AAA. Now that said, FTT’s yield is a less than inspiring 2.5% or so. But, with so much money in super-safe bonds, what would you expect? The only thing to keep in mind here is the word “enhanced” that sits in front of “treasury” in the fund’s name. This isn’t just a treasury fund, it’s a little bit more. Closed-end funds often make use of tactics that open-end funds don’t. FTT does three things . First, it owns treasury securities. Second, it tries to adjust its duration to take advantage of interest rate shifts. Third, it writes options to enhance income. None of these things is particularly odd or frightening, but they are notable because they can change the dynamics of the investment. For example, if the fund makes a bad call on interest rate movements performance would suffer. But a lot of funds do this very same thing. And options can limit upside potential, though I wouldn’t expect a treasury fund to rocket higher over a short period of time. So this is something to note, but I wouldn’t lose too much sleep over it. However, from a bigger picture, if you are looking at a CEF, you’ll want to know if they do things that similar open-end funds aren’t. Is now the time to look at FTT? Well… If you are concerned about high-risk investments, you might want to consider FTT. But you’d clearly be in good company, since the fund’s average discount has narrowed pretty steadily since last year. It’s currently trading at an around 3% discount versus its three year average of 9% or so. And it’s annualized net asset value, or NAV, performance over the past five years through August is a loss of around 1% a year. That’s not exactly inspiring. So, if you do look at FTT it’s more about a flight to safety than anything else. Investment grade bonds If you are looking for a bond CEF beyond high yield and want a little more than what FTT has to offer, the Invesco Bond Fund (NYSE: VBF ) is another high-quality bond fund that you might want to look at. Around 85% of the fund’s assets are invested in bonds rated BBB or better. Another 10% or so is in BB bonds, the highest quality of the high-yield debt spectrum. So is it a pure investment grade bond fund? No. But it’s a far cry from a junk bond fund. The fund can invest up to around 20% of assets in lower grade debt, if it wants to. But, in general, if you are looking to minimize your exposure to junk bonds, this fund will accomplish that. Like FTT, though, don’t expect a lot of distribution. VBF’s distribution yield is around 4.8% or so. That’s a lot better than the 2.5% offered by FTT, but a far cry from the 10%+ yields you can find in junk bond CEFs. Interestingly, VBF’s discount is currently nearing 9%. That’s slightly wider than its three-year average discount of just under 8%. So investors haven’t been showing this CEF much love of late. The fund actually has a lot more going for it on the performance side of things than FTT, too. For example, over the trailing five years through August the fund’s annualized NAV return was about 5.25%. It’s an older fund than FTT, so it also has a trailing annualized 10-year return of around 5.75% and a trailing 15-year return of 6.25%. All numbers assume reinvested distributions. The fund, for the most part, is pretty boring. It owns bonds. The management team mixes a top-down approach to the bond market with a bottom-up approach to individual bond selection. That’s pretty common stuff in the bond world. So, if you are looking for a long-term bond holding that isn’t junk and isn’t just a flight to safety play, VBF is worth a closer look. Just to prove the case Just to prove there’s more than one option in the investment grade CEF space, here’s another: the Morgan Stanley Income Securities Inc. (NYSE: ICB ). Like VBF it can invest in high yield, but generally doesn’t do so to a material degree. As of March, around 12% of the portfolio was in bonds rated BB or below, a weighting management described as opportunistic. ICB’s distribution yield was recently in the 3% range. It’s discount was about 10%, in-line with its trailing three-year average. Trailing NAV performance, meanwhile, was fairly close to that of VBF, with an annualized return of 5.1% over the trailing five years, 5.7% over the trailing 10 years, and 6.3% over the trailing 15-year period through August. The two funds have fairly similar risk profiles, as well. Yes, there are options… All in, I’d give the edge to Invesco Bond Fund here, but that doesn’t mean you shouldn’t take the time to compare all three funds I’ve noted. And, frankly, there are other CEFs that invest in investment grade debt, too, so I wouldn’t stop my search with this trio. The idea here was to whet your appetite, not sate it. But FTT, VBF, and ICB are all solid, come from well-known families, and would suit the needs of an investor looking for an alternative to a high-yield CEF. Disclosure: I/we have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours. (More…) I wrote this article myself, and it expresses my own opinions. I am not receiving compensation for it (other than from Seeking Alpha). I have no business relationship with any company whose stock is mentioned in this article.

Guide To The 7 Most Popular Financial ETFs

With the U.S. economy hanging between loose and (looming) tight monetary policies, a quick peek at the backbone of the economy, the financial sector, seems mandatory. The sector, which makes up the around one-fifth of the S&P 500 index, emerged a winner in the Q2 earnings season, having tided over an average start to 2015 and a sluggish finish to 2014. Several factors including fewer litigation charges, effective cost control measures and modest improvement in core businesses gave Q2 earnings a boost. The Zacks Earnings Trend also validated this uptrend especially on the earnings front. Total earnings were up 7.3% on 1.6% revenue growth with beat ratios of 66.7% and 65.1%, respectively. The performance bettered what we saw from the finance sector companies in other recent quarters. Among the bunch, investment bankers and real estate segment delivered strong growth on both lines while major banks scored on the bottom line. Not only this, the sector is due for more outperformance in the quarters to come. As per the Zacks Earnings Trend issued on September 4, 2015, the finance sector is expected to witness 8.6% earnings expansion in Q3 and 15.1% in Q4. Very few sectors are able to attain this envious growth rate especially given the even-increasing global growth concerns. Overall, increased investment banking activity thanks to solid deals in the U.S. ranging from mergers and acquisitions to IPOs along with loan growth, sound trading business and cost containment efforts were behind the recent success. Investors should note that the sector gained momentum despite the challenging interest rate backdrop. Since the Fed is likely to hike rates sometime this year, this corner of the market should soar on improving interest rate margins. This is because banks borrow money at short-term rates and lend the capital at long-term rates thereby benefitting from a widening spread between long- and short-term rates. Further, U.S. banks now have much healthier balance sheets and their quality of earnings is improving on a stepped-up economy. Given this, investors might look at the popular financial ETFs mentioned below and position their portfolio better prior to the Fed lift-off. Financial Select Sector SPDR ETF (NYSEARCA: XLF ) The most popular financial ETF on the market, XLF follows the S&P Financial Select Sector Index. This fund manages about $17.5 billion in assets and trades in heavy volume of roughly 39 million shares a day. The ETF charges 15 bps in fees per year from investors. In total, the fund holds about 90 securities in its basket with the top five firms accounting for about 35% share. Other firms hold less than 2.77% of assets. In terms of industrial exposure, the product is tilted toward banks at 36.9% while insurance, REITs, capital markets and diversified financial services account for a double-digit allocation each. The fund currently yields 1.88% in annual dividend and has lost 5.3% so far this year. The ETF has a Zacks ETF Rank #1 (Strong Buy) with a Medium risk outlook. Vanguard Financials ETF (NYSEARCA: VFH ) This ETF is now home to $3.04 billion in assets. The product holds 563 stocks in its basket with highest allocations to Wells Fargo (NYSE: WFC ), JPMorgan (NYSE: JPM ) and Bank of America (NYSE: BAC ). Diversified banks is the key focus of the fund with about 24.3% exposure followed by regional banks (10.2%). With an expense ratio of just 12 basis points, VFH is a cheap way of getting a diversified exposure to the financial services companies. The fund’s dividend yield is 1.92%. The fund is off over 6% in the year-to-date frame (as of September 8, 2015) and currently has a Zacks ETF Rank #1. SPDR S&P Bank ETF (NYSEARCA: KBE ) This fund tracks the S&P Banks Select Industry Index and has an AUM of $2.7 billion. Volume is good as it exchanges more than 2 million shares a day while expense ratio is at 0.35%. The product holds a diversified basket of 65 stocks with none holding more than 1.74% of total assets. From a sector look, about three-fourths of the portfolio is allotted to regional banks while thrifts & mortgage finance, diversified banks, asset management & custody banks and other diversified financial services take the remainder. KBE currently has a dividend yield of 1.69%. The ETF has added 1.4% in the year-to-date time frame and holds a Zacks ETF Rank #2 (Buy). SPDR S&P Regional Banking ETF (NYSEARCA: KRE ) This is yet another popular ETF in the banking space with AUM of nearly $2.31 billion and average daily volume of roughly 4.7 million shares. The product follows the S&P Regional Banks Select Industry Index, charging investors 35 basis points a year in fees. The product holds a well-diversified basket of 93 stocks. It uses an equal-weighted strategy and hence minimizes concentration risk. None of the individual stocks form more than 1.45% of total fund assets. The fund has given more than 2% returns in the year-to-date frame. It has also a Zacks Rank #2. iShares U.S. Financials ETF (NYSEARCA: IYF ) The fund looks to track the Dow Jones U.S. Financials Index and puts $1.48 billion of assets in 284 holdings. The fund is moderately spread out across each holding with the highest exposure of 6.38% going to Wells Fargo. Banks is the top industry in the fund with about one-third of exposure followed by diversified financials (25%) and real estate (20.3%). The fund charges 45 bps in fees and yields about 1.52% annually (as of September 8, 2015). The fund has a Zacks ETF Rank #3 (Hold). First Trust Financials AlphaDEX ETF (NYSEARCA: FXO ) The fund follows a modified equal-dollar weighted index and invests about $885.4 million of assets in 172 holdings. It is devoid of the company-specific concentration risk as no stock accounts for more than 1.29% of the basket. Insurance gets the top priority in the fund with over 34% focus while REIT and banks also have double-digit exposure in it. The fund charges 80 bps in fees and yields 1.36% per annum. The fund has lost about 1.5% so far this year and has a Zacks ETF Rank #3. iShares U.S. Financial Services ETF (NYSEARCA: IYG ) This product follows the Dow Jones U.S. Financial Services Index, holding 112 stocks in its basket. It is highly concentrated on the top two firms – WFC and JPM – making up for over one-fifth of the portfolio. Other firms hold less than 7.72% share. Banks dominates the fund’s portfolio at 56% while financial services makes up for the remainder. The fund has amassed $880 million in its asset base and sees moderate average daily volume of over 150,000 shares. It charges 45 bps from investors. The product has lost about 3% so far in the year and currently yields 1.34% in annual dividends. IYG has a Zacks ETF Rank #3. Link to the original post on Zacks.com