Tax-efficient investment strategies for today

Financial advisors understand the critical importance of asset allocation and utilizing the concept of the efficient frontier when constructing investment portfolios. But the interdependency of asset location may be less understood. By layering the tax efficiency of investments into portfolio construction, advisors can help clients maximize income and returns, particularly during uncertain markets.

Asset location focuses on placing tax-efficient assets in taxable accounts and tax-inefficient assets in tax-deferred accounts, including the impact of limitations on tax-deferred contributions to qualified accounts and the tax characteristics of varying asset classes.

Join VettaFi and Nationwide for an interactive discussion on how asset allocation can potentially help maximize income and returns in your clients' investment portfolios.

August 8, 2023
11am PT | 2pm ET
1 CE Credit
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In this upcoming webcast, Tom Lydon, Vice Chairman of VettaFi, will moderate the interactive discussion that will include:

  • Market outlook and a review of potential sources of income and return.
  • Advisor best practices working with clients on asset allocation and location strategies.
  • An innovative approach to sourcing investment income and tax efficiency.

Pending acceptance for one hour of CFP/IWI/The American College Board CE credit for live and on-demand attendees.

CFA Institute members are encouraged to self-document their continuing professional development activities in their online CE tracker.


Chris Graham

Chief Investment Officer
Nationwide Financial

Garrett Paolella

Co-Founder, Managing Partner and Portfolio Manager
NEOS Investment Management*

Gary Aiken

Chief Investment Officer
Concord Asset Management

Tom Lydon

Vice Chairman

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Important Disclosures

*Effective on or about July 17, 2023, NEOS Investment Management replaced Harvest Volatility Management as the subadviser to the Nationwide Nasdaq-100® Risk-Managed Income ETF (“NUSI”), Nationwide S&P 500® Risk-Managed Income ETF (“NSPI”), Nationwide Dow Jones® Risk-Managed Income ETF (“NDJI”), and Nationwide Russell 2000® Risk-Managed Income ETF (“NTKI”), respectively.

Investing involves risk, including the possible loss of principal. 

Call 1-800-617-0004 to request a summary prospectus and/or a prospectus, or download prospectuses at etf.nationwidefinancial.com. These prospectuses outline investment objectives, risks, fees, charges and expenses, and other information that you should read and consider carefully before investing.

Expense ratios are as of the most recent prospectus. Please see the Fund prospectus for more detail.



The Nationwide Nasdaq-100® Risk-Managed Income ETF (“NUSI”), Nationwide S&P 500® Risk-Managed Income ETF (“NSPI”), Nationwide Dow Jones® Risk-Managed Income ETF (“NDJI”), and Nationwide Russell 2000® Risk-Managed Income ETF (“NTKI”) (collectively, the “Risk-Managed Income ETFs “) are subject to the risks of investing in equity securities, including tracking stock (a class of common stock that “tracks” the performance of a unit or division within a larger company). A tracking stock’s value may decline even if the larger company’s stock increases in value. The Risk-Managed Income ETFs are subject to the risks of investing in foreign securities (current fluctuations, political risks, differences in accounting and limited availability of information, all of which are magnified in emerging markets). The Risk-Managed Income ETFs may invest in more-aggressive investments such as derivatives (which create investment leverage and illiquidity and are highly volatile). The Risk-Managed Income ETFs employ a collared options strategy (using call and put options is speculative and can lead to losses because of adverse movements in the price or value of the reference asset).

The success of the Risk-Managed Income ETFs’ investment strategies may depend on the effectiveness of the subadviser’s quantitative tools for screening securities and on data provided by third parties. The Risk-Managed Income ETFs expect to invest a portion of their assets to replicate the holdings of an index (NUSI, NSPI, and NDJI) or in an underlying ETF that seeks to replicate the holdings of an index (NTKI). Correlation between Fund performance and index performance may be affected by Fund expenses and portfolio transaction costs not incurred by the index and because each Fund may not be fully invested in the securities of the corresponding index or may hold securities not included in the index. Frequently, the Risk-Managed Income ETFs may buy and sell portfolio securities and other assets to rebalance their exposure to various market sectors or specific securities. Higher portfolio turnover may result in higher levels of transaction costs paid by the Risk-Managed Income ETFs and greater tax liabilities for shareholders. The Risk-Managed Income ETFs may concentrate on specific sectors or industries, subjecting them to greater volatility than that of other ETFs.

The Risk-Managed Income ETFs may hold large positions in a small number of securities, and an increase or decrease in the value of such securities may have a disproportionate impact on the Funds’ value and total return. Although the Risk-Managed Income ETFs generally intend to invest in a variety of securities and instruments, the Risk-Managed Income ETFs will be considered non-diversified such that the Risk-Managed Income ETFs may invest more of their assets in the securities of a single issuer or a smaller number of issuers. Additional risks include: collared options strategy risk, correlation risk, derivatives risk, foreign investment risk, industry concentration risk, ETF investment company risk (NTKI) and market capitalization risk (large-capitalization investing risk for NUSI, NSPI and NDJI; small capitalization investing risk for NTKI).

Nationwide Fund Advisors (NFA) is the registered investment advisor to Nationwide ETFs, which are distributed by Quasar Distributors LLC. NFA is not affiliated with any distributor, subadviser, or index provider contracted by NFA for the Nationwide ETFs. Nationwide is not an affiliate of third-party sources. Representatives of the Nationwide ETF Sales Desk are registered with Nationwide Investment Services Corporation, member FINRA, Columbus, Ohio.

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MFM-5194AO.2 (7/2023)