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ATS004: How to Be A Successful Investor with Arthur Lipper

By David S. Chang

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I am extremely excited to have Arthur Lipper as my next guest! Anyone familiar with the finance industry knows the impact he has had. Since he started working on Wall Street in 1954 (60 years!), he is acknowledged worldwide as an innovator in the field of financial services. He pioneered breakthroughs in the fields of mutual fund analysis and stock index futures.

He was the first in history to create the stock index fund (John Bogle with Vanguard who made them them famous, was a client of Arthur’s!) He is also well known for being the founder of the Lipper Mutual Fund Performance Analysis Service (currently owned be Thomson Reuters). You may have heard of the Lipper Analysis when researching mutual funds.

In this podcast, we cover important topics such as:

  • What does it take to be a successful investor?
  • How should one get started?
  • What are key strategies to investing?
  • How do you know if you have a good mutual fund or not?
  • And much more!

He also talks about a new type of investment product that he patented, the Royalty Fund Model, and will be launching it soon. Visit this page to get more information as I will give updates.

He has also graciously offered to answer questions that any of you may have when it comes to investing. Email us at info@artofthinkingsmart.com or enter your comments and questions below! 

Arthur’s resume is so impressive I had to publish it!

He was editor of Venture Magazine and also published numerous books, publications, and articles. You can check out some of his books here.

Since receiving a purple heart from his service in the Korean War with the Marines, he has been affiliated with the international financial community all of his adult life. Mr. Lipper formed two New York Stock Exchange member firms, Arthur Lipper Corporation and New York & Foreign Securities, and served both as Chairman. These firms specialized in serving institutional investors, and their services included the creation of mutual fund investment performance analysis. The firms were members of the major U.S. securities exchanges, and a number of commodity futures exchanges, and transacted hundreds of millions of dollars of business. Mr. Lipper also served on the Securities Industry Association Education Committee.

His Stock and Commodity Exchange memberships have included: NYSE, American, Midwest, Pacific Coast, Detroit, Boston, Philadelphia, Bangkok, NY Comex and NY Futures Exchange. He has served as advisor to: Mid-America Commodity Exchange and Bourse de Beyrouth. He was the founder and CEO of Arthur Lipper Corporation and co-founder and Chairman of New York & Foreign Securities Corporation. Mr. Lipper also serves as President of Communications Management Associates.

In 1969, Arthur Lipper Corporation filed the first prospectus for a Stock Index Fund and subsequently, through its subsidiary, Forward Contract Exchange Company in Amsterdam, the company conceived and initiated trading Stock Index Futures. The firm also created a stock loan department to serve its institutional clients, unique for its time. The company had offices in New York, London, Washington, Amsterdam, Geneva, Buenos Aires, Singapore and Tokyo, and was actively involved in Australia.

Arthur Lipper Corporation began investing in privately owned companies, including Venture Magazine, where Mr. Lipper served as Editor-in-Chief. He has lectured at many prominent universities, including Harvard, Yale, Stanford and Georgetown, and has written books on investing in privately owned companies, entrepreneurship and the management of early stage companies. His books include “Investing in Private Companies,” Thriving Up and Down the Free Market Food Chain,” “The Guide for Investing Angels,” and “The Larry and Barry Guide to Entrepreneurial Wisdom.”

Mr. Lipper’s personal experience as a business owner, and insights from the research of Venture, allowed him to develop a broad range of knowledge about entrepreneurs, and the problems of managing young companies.

Mr. Lipper serves, or has served, as an advisor or board member to many exchanges, public and private companies. He has served as advisor to Mid-America Commodity Exchange and Bourse de Beyrouth, and is President of Communications Management Associates. A number of important documents about Mr. Lipper and his career are at REXRoyalties.com He has a long-standing interest in furthering productive business relationships between America and Asia, especially China, and serves on the Advisory Board of the Zhou Enlai Peace Institute and the Yantai-San Diego Friendship Society.

British Far East Holdings is an investment banking and consulting firm directed by Arthur Lipper and his wife, Anni Lipper. The company developed a proprietary method of financing companies through royalties, which was awarded a U.S. Patent. Mr. Lipper also developed the methodology to implement a public Royalty Exchange, to manage and monetize Exchange Traded Royalties. This innovation was driven by Mr. Lipper’s concern that financing of many private companies might be better accomplished through a share of revenues, rather than through the traditional means of selling equity or incurring debt.

Current Business Activities

Currently serving as: Officer, Director or Advisor: Lion Brothers (world’s oldest/largest embroidered emblem manufacturer), Access Direct Systems (Mass market, laser printing lettershop), DKS Technologies (diesel engine performance enhancement), Waterside Productions (multimedia literary agency), Innovest Value Dynametrics (ecological risk evaluation services), Gazelles, Inc.and Master of Business Dynamics program (relevant executive education), Cavion.COM Inc. (Serving the electronic communications and processing needs of credit unions), President of Las Vistas Home Owners Association, ArrayComm (intelligent base station antennas), Zi Corporation (ZICA) (enables typing Chinese and other ideographic languages), Electropure (electrodeionization technology and Laserpure water purity measurement), Manhattan Scientifics (MHTX) (miniature fuel cells), Oncologic, Inc. (cancer therapy process), Pacific Datavision (management command software), MeterNet Corporation (set top box providing Internet access for tv sets), Magellan University (virtual education delivery system)…PanAmerica Capital Group (investment banking services) Plasmedia Wired Retail Network (proprietary, interactive, shopping mall consumer information units), Auto Life (engine cleaning equipment)

Previously served as:

  • Chairman – Arthur Lipper Corporation and international subsidiaries – NYSE member firm
  • Chairman – Publisher and Editor-In-Chief – Venture Magazine
  • Chairman – New York & Foreign Securities Corporation (co-founder) – NYSE member firm
  • Chairman – Gifted & Talented Publications – publisher of Gifted Children Monthly
  • Chairman – White Plains Cable Television Commission
  • Chairman – Microband Corporation of America – licensed FCC Common Carrier
  • Chairman – White Plains Mayor’s Committee on Non-Tax-Based Revenue
  • Director – Small Business Foundation of America Director – International Human Assistance Program
  • Director – Channels Magazine (as representative of the Markle Foundation)
  • Director: Cognitive Diagnostics
  • Director – International Council For Small Business
  • Director – College Savings Bank, Princeton, NJ
  • Director – San Diego Venture Group Director – TMm, Inc – Total Multimedia
  • Director: Qtron
  • Director – Marquest Medical Products Inc. (NASD: MMPI), Chairman of Audit Committee
  • Director -Projectavision
  • Advisor – HemaCare (HEMA) Passive Hyperimmune Therapy for treatment of AIDS
  • Advisor: Meadox Medical
  • Advisor – Lifers Group of Rahway (New Jersey State Prison)
  • Advisor: Top Source (TPS)
  • Member – Securities Industry Association Economic Education Committee
  • Advisor – Access Communication Systems
  • Adjunct Associate Professor – NYU Stern Graduate School of Business Administration
  • Adjunct Professor – Westchester Community College
  • Host/Co-producer – Venture’s Franchise Showcase (series of 30 min television shows)

He has been commercially active in: Canada, Argentina, Mexico, Panama, Venezuela, England, Sweden, Switzerland, Holland, Lebanon, Israel, Bahrain, Australia, Singapore, Malaysia, Indonesia, Thailand, Hong Kong and Japan.

Books and Manuals Written:

  • LIPPER Mutual Fund Performance Analysis service and other investment company related services created by Arthur Lipper Corporation 1967-72.
  • Venture’s Financing & Investing In Private Companies – A Guide to Understanding Entrepreneurs and their Relationships with Investors, Lenders and Advisors (Probus) 1988.
  • The Larry and Barry Guide to Venture Funding 1984.
  • Venture’s Guide to Investing In Private Companies (Dow-Jones Irwin) 1984.
  • Thriving Up and Down the Free Market Food Chain – The Unrestrained Observations (and Advice) of a Business Darwinist (HarperBusiness) 1991.
  • The Guide for Venture Investing Angels – Financing & Investing In Private Companies (Missouri Innovation Center) 1996 – now in 2nd printing.

He is presently working on two new books. Columns, Forewords, Chapters and Articles Contributed: Barron’s, “Business Owner/Entrepreneur” column in the San Diego Business Journal, “Views of a Venturer” columnist for Pittsburgh’s Executive Report and Women’s News, The Franchise Advantage (1987), The Venture Magazine Complete Guide To Venture Capital (1987), Leadership: Making Things Happen (1986), Handbook for and Innovative Managers (1987), Executive Chess (1987), Beyond IBM (1989), Exceptional Entrepreneurial Women (1988), The Dynamos – Who Are They Anyway (1987), Knights and Knaves of Corporate Boardrooms (1989), Library of Investment Banking – Capital Raising & Financial Structure (1990) and to the Venture Capital Club Monthly, Association of Venture Founders Newsletter, Gifted Children Newsletter, Venture Magazine, Journal of Creative Behavior, Magazine of Artificial Intelligence in Finance, www.bizwiz.com/venvest/asklipp.htm Access Business OnLine Daily Newspaper and www.gifted-children.com.

Memberships & Affiliations:

  • N.Y. Stock Exchange Luncheon Club
  • Metropolitan Club – New York
  • Foreign Correspondents Club of Japan *
  • UCSD Chancellor’s Associates
  • Hollandse Club – Singapore *
  • San Diego Press Club
  • National Investor Relations Institute *
  • Financial Analysts Society of San Diego
  • Soundshore Pistol Club *
  • UCSD Faculty Club
  • Canadian Club of New York (ex-Governor) *
  • San Diego-Tijuana Sister Cities Society
  • Princeton Club – New York *

* Not currently active as a member

Education Background

Present and Prior Educational Activities & Affiliations: U. S. Capitol Page School… Bronx High School of Science..THE ENTREPRENEURSHIP INSTITUTE … KENAN INSTITUTE OF PRIVATE ENTERPRISE of Kenan-Flagler Business School/Univ of North Carolina … SNIDER ENTREPRENEURIAL CNTR – Wharton School/Univ of Penn … MAC ARTHUR FOUNDATION – Fellows Program … NATIONAL ACADEMY OF FINANCE FDN … MANHATTANVILLE COLLEGE ENTREPRENEURIAL CENTER – Purchase, NY … TAYLOR INSTITUTE FOR ENTREPRENEURIAL STUDIES, College of New Rochelle … SBDC REGIONAL CENTER/Pace University, New York City … NATIONAL FDN FOR TEACHING ENTREPRENEURSHIP – to Handicapped and Disadvantaged Youth … JOINT COUNCIL ON ECONOMIC EDUCATION … NATIONAL SCHOOLS COMMITTEE FOR ECONOMIC EDUCATION … U.S. SMALL BUSINESS ADMIN – WOMEN’S NETWORK FOR ENTREPRENEURIAL TRAINING Steering Committee… HIGH SCHOOL ENTREPRENEURS … AVON WOMEN OF ENTERPRISE award program … SMALL BUSINESS ECONOMICS – An International Journal … UCSD … SDSU Entrepreneurial Management Center … UCSD Arts & Humanities Department, Dean’s Advisory Board … San Diego (county) Economic Advisory Board … La Jolla Playhouse … San Diego Opera … Pepperdine University’s Third Pillar Society…Chairman Board of Trustees of the Berger Collection Educational Trust and Corporation.

Mr. Lipper has addressed graduate and undergraduate students at: Universities of: Pennsylvania, California, Los Angeles, North Carolina, Miami, Oklahoma, Texas and Harvard, Yale, Boston U, Babson, Stern School of NYU, Westchester Community College, George Washington, Northwestern, Tuck School of Dartmouth, Clark, Georgetown, Stanford, Marquette, Keller Grad Sch of Business, Wichita State, College of New Rochelle, Iona, Baruch, Cal State San Marcos, Pepperdine and others. He has also presented to: Venture groups and entrepreneurship associations in cities including: San Diego, Los Angeles, New York, Chicago, San Francisco, Houston, Denver, Indianapolis, Boston, Sydney, Tokyo, and Singapore.

Columns, Forewords, Chapters and Articles Contributed:

  • Barron’s,
  • Business Owner/Entrepreneur column in the San Diego Business Journal,
  • Views of a Venturer columnist for Pittsburgh’s Executive Report and Women’s News,
  • The Franchise Advantage (1987),
  • The Venture Magazine Complete Guide To Venture Capital (1987),
  • Leadership: Making Things Happen (1986),
  • Handbook for and Innovative Managers (1987),
  • Executive Chess (1987),
  • Beyond IBM (1989),
  • Exceptional Entrepreneurial Women (1988),
  • The Dynamos – Who Are They Anyway (1987),
  • Knights and Knaves of Corporate Boardrooms (1989),
  • Library of Investment Banking – Capital Raising & Financial Structure (1990) and to the Venture Capital Club Monthly,
  • Association of Venture Founders Newsletter,
  • Gifted Children Newsletter,
  • Venture Magazine,
  • Journal of Creative Behavior,
  • Magazine of Artificial Intelligence in Finance,
  • www.bizwiz.com/venvest/asklipp.htm
  • Access Business OnLine Daily Newspaper, and
  • GIFTED-CHILDREN.COM

David S. Chang

Award-Winning Entrepreneur, Wealth Manager and CEO | Chief Editor, Author, Keynote Speaker, Consultant ArtofThinkingSmart.com | Political Consultant | Army Officer National Guard | Living To Fulfill Needs, Solve Problems, and Live Passionately!

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