Seeking Tax-Efficient Monthly Income While Investing in the Innovation within the Nasdaq-100(R) Index – NEOS Investments – 7.15.26

Summary:

Many investors continue to seek reliable sources of income, but not all income strategies are created equal. As advisors navigate evolving market conditions, tax considerations, and varying client risk tolerances, understanding the tradeoffs across income-focused solutions has become increasingly important.

Join Nasdaq and NEOS Investments, an award-winning ETF issuer, for a timely discussion on innovation within the Nasdaq-100^® and how options-based ETFs are being used to seek tax-efficient monthly income across different investor objectives.

You’ll hear from Kevin Davitt, Nasdaq’s Head of Index Options Content, who will discuss ongoing innovation surrounding the Nasdaq-100 and how Nasdaq-100-linked options can be utilized to pursue differentiated outcomes, including income generation, tax efficiency, and risk management.

You’ll also hear from Troy Cates of NEOS Investments, who will discuss how NEOS ETFs seek to bring income innovation to the Nasdaq-100, offering advisors a range of approaches designed to pursue varying levels of monthly income, upside participation, and risk management based on client objectives and risk tolerance.

Discussion topics will include:

• Innovation within the Nasdaq-100 and its role in modern portfolio construction
• How Nasdaq-100-linked options can be used to pursue income, tax efficiency, and risk management objectives
• Evaluating income, upside participation, and risk management tradeoffs across different income-focused approaches
• The growing importance of tax-aware investing within income-focused portfolios
• Key considerations for implementing options-based income strategies in client portfolios

Join us to learn how advisors are incorporating Nasdaq-100 options-based ETFs into client portfolios to seek tax-efficient monthly income while aligning portfolio outcomes with investor goals and risk tolerance.

Accepted for 1 CFP / IWI / CFA CE Credit

Speakers:

Troy Cates has over 25 years of trading and portfolio management experience, with a vast knowledge of both the equity and options markets. He is the Co-founder and Managing Partner of NEOS Investments. Troy has helped create, launch, and manage numerous options-based ETFs and investment firms throughout his career. Troy served as a Managing Director at Harvest Volatility Management where he helped manage and trade the firm’s institutional portfolios and ETFs, along with guiding the development of the firm’s exchange traded products. Prior to Harvest, Troy served as Managing Director, Head of Trading and Portfolio Manager at Horizons ETF Management U.S. and has enjoyed roles as Partner and Head of Trading at Recon Capital where he oversaw portfolio management and trading for all of the firm’s investment funds.

Previously, he was an Executive Director at MKM Partners where he was an institutional execution trader and helped launch the firm’s equity derivatives desk. Troy started his career working as a market maker at Spencer Trask, a NYC based venture capital firm. He holds a B.S. in Business Administration from SUNY Albany.

Kevin Davitt has worked as Nasdaq’s Index options content lead since 2022. In this role he creates and presents materials that help market participants understand the risk and potential power of options. Much of his work focuses on index options like NDX^® and XND^®. Prior to Nasdaq, Kevin was a Senior Instructor in Cboe’s Options Institute. Davitt also spent years as an options market maker, trading equity, ETF, and index products on and off floor.

Keith Black has over thirty years of financial market experience, serving approximately half of that time as an academic and half as a trader and consultant to institutional investors. He currently serves as Managing Director of Education for RIA Channel. He previously served as the Managing Director of Curriculum and Exams for the CAIA Association. At Ennis Knupp + Associates, Keith advised foundations, endowments, and pension funds on asset allocation and manager selection strategies in hedge funds, commodities, and managed futures. Prior experience includes commodities derivatives trading, stock options research, Cboe floor trading, and building quantitative stock selection models for mutual funds and hedge funds.

Dr. Black has taught courses on traditional and alternative investments at the Illinois Institute of Technology and the University of Massachusetts. He contributed regularly to The CFA Digest and has published in The Journal of Wealth Management, The Journal of Trading, The Journal of Investing, and The Journal of Alternative Investments, among others. He is the author of the book “Managing a Hedge Fund,” and co-authored the second, third, and fourth editions of the CAIA Level I and Level II textbooks. His book “Investing in Cryptocurrencies and Digital Assets: A Guide to Understanding Technologies, Business Models, Due Diligence, and Valuation” will be published by Wiley in Fall 2024. Dr. Black was named to the Institutional Investor magazine’s “Rising Stars of Hedge Funds” list in 2010.

Dr. Black earned a BA from Whittier College, an MBA from Carnegie Mellon University, and a PhD from the Illinois Institute of Technology. He has earned the Chartered Financial Analyst (CFA) designation and was a member of the inaugural class of the Chartered Alternative Investment Analyst (CAIA) and Financial Data Professional (FDP) candidates. He has also earned the Certified Digital Asset Advisor (CDAA) designation.