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Optimal Dynamic Trading with Leverage Constraints

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Author Info
Sanford J. Grossman
Jean-Juc Vila

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Abstract

We solve for the optimal dynamic trading strategy of an investor who faces two constraints. The first constraint is a limitation on his ability to borrow for the purpose of investing in a risky asset, i.e., the market value of his investments in the risky asset X, must be less than an exogenously given function of his wealth X(W). The second constraint is the requirement that the investor’s wealth be non-negative at all times, i.e., Wt>O. We assume that the investor has constant relative risk aversion A, and the value of the risky asset follows a diffusion with drift m+r (where r is the risk free rate) and per unit time variance s2. In the absence of the constraints, X &Mac186; (m/s2)*W/A. We prove that in the presence of the above constraints the optimal investment is X &Mac186; Min[(m/s2)*W/a, X(W)]. The coefficient a is not in general equal to A, and represents the extent to which the investor alters his strategy even when the constraints are not binding because of the possibility that the constraints will become binding in the future.

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Paper provided by Wharton School Rodney L. White Center for Financial Research in its series Rodney L. White Center for Financial Research Working Papers with number 36-89.

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Handle: RePEc:fth:pennfi:36-89

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  1. Paul Willen & Felix Kubler, 2006. "Collateralized borrowing and life-cycle portfolio choice," Public Policy Discussion Paper 06-4, Federal Reserve Bank of Boston. [Downloadable!]
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  2. Kogan, Leonid & Uppal, Raman, 2002. "Risk Aversion and Optimal Portfolio Policies in Partial and General Equilibrium Economies," CEPR Discussion Papers 3306, C.E.P.R. Discussion Papers. [Downloadable!] (restricted)
  3. Tobias Adrian & Michael J. Fleming, 2005. "What financing data reveal about dealer leverage," Current Issues in Economics and Finance, Federal Reserve Bank of New York, issue Mar. [Downloadable!]
  4. Bruce Tuckman & Jean-Luc Vila, 1993. "Holding Costs and Equilibrium Arbitrage," University of California at Los Angeles, Anderson Graduate School of Management 1153, Anderson Graduate School of Management, UCLA. [Downloadable!]
  5. Vladislav KArgin, 2004. "Optimal Convergence Trading," Finance 0401003, EconWPA. [Downloadable!]
  6. Fang Cai, 2003. "Was there front running during the LTCM crisis," International Finance Discussion Papers 758, Board of Governors of the Federal Reserve System (U.S.). [Downloadable!]
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