Investments & Wealth Competency Matrix

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