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Investments & Wealth Competency Matrix

Investment Advice (CIMA Body of Knowledge)

Wealth Advice (CPWA Body of Knowledge)

I

Statistical and Economic Fundamentals

Investment Advice
II

Portfolio Construction and Risk Management

Investment Advice
III

Traditional and Alternative Investments

Investment Advice
IV

Portfolio Theory and Behavioral Finance

Investment Advice
V

Application: Investment Consulting Process

Investment Advice
VI

Human Dynamics

Wealth Advice
VII

Wealth Management Strategies

Wealth Advice
VIII

Legacy Planning

Wealth Advice
IX

Application: Advising the HNW Client

Wealth Advice
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I. Statistical and Economic Fundamentals

  • Statistics and Methods
  • Applied Finance and Economics
  • Global Capital Markets History and Valuation

II. Portfolio Construction & Risk Management

  • Attributes of Risk
  • Risk Measurements
  • Performance Measurement and Attribution

III. Traditional & Alternative Investments

  • Traditional Global Investments (Equity and Fixed Income)
  • Fixed-Income Vehicles
  • Foreign Exchange Market
  • Alternative Investments
  • Options, Futures, and Other Derivatives
  • Tools and Strategies Based on Technical Analysis

IV. Portfolio Theory and Behavioral Finance

  • Portfolio Theories and Models
  • Behavioral Finance

V. Application: Investment Consulting Process

  • Client Discovery
  • Investment Policy Statement (IPS)
  • Portfolio Risk Management Strategies
  • Manager Search, Selection, and Monitoring
  • Perform Portfolio Review and Revisions Process

VI. Human Dynamics

  • Ethics
  • Applied Behavioral Finance
  • Family Dynamics

VII. Wealth Management Strategies

  • Tax Strategies and Planning
  • Portfolio Management
  • Risk Management and Asset Protection

VIII. Legacy Planning

  • Charitable Giving
  • Estate Planning and Wealth Transfer

IX. Application: Advising the HNW Client

X
Code of Professional Responsibility
XI
Business Management and Client Service