Jim Lucey, CFA, JD is the Compliance officer at Bull & Bear. Prior to Bull & Bear he was at Alpha Advisors, Inc., which is a registered investment adviser with the Securities & Exchange Commission (SEC) under the Investment Advisers Act of 1940. Alpha specializes in managing fixed income securities for insurance companies and has managed as much as $1.3 billion.

 

Alpha’s performance has been excellent, even avoiding any bankruptcies stemming from the 2008 financial crisis. Portfolios have mainly focused on corporate bonds, municipals, and mortgage-backs (GNMA, FNMA or FHLMC). In the early 1980s, Jim was an important member of the committee that drafted the investment regulations for Illinois Insurance Agents and Brokers Premium Fund Trust Accounts, which is now considered the Model Act for the rest of the United States.

 

Also in the 1980s, he was extensively quoted in Business Insurance and National Underwriter on the subject of asset/liability management for insurers. During that 
time, he was involved in the early discussions of what eventually became the Valuation Actuary. In 1984, he published a Ready Reference of the new Investment Section of the Illinois Insurance Code, which was widely used by the industry and even used by Peat Marwick & Co. as a training tool for auditors.

Wealth Preservation | Capital Appreciation

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