Investment Foundation

Jesse Livermore: World’s Greatest Stock Trader

Richard Smitten, 2001

Notes of Richard Smitten, not the book.

The notes are not a substitute for reading the books, but highlights that remind us of key philosophies and metrics.

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Notes

Trade only on pivotal points. Always made money when patient and traded on pivotal points. Reversal pivotal points almost always accompanied by a heavy increase in volume with 100-500% increases in daily volume and usually occur after long trending moves, why patience so necessary. Would send out probes and also in respective industry group, continuation pivotal point confirms and chance to add to position. Don’t chase if above 5-10%, missed the reversal, would rather pay higher for continuation pivotal point as confirmation. Biggest movement occurs in the last two weeks and also for commodities, so must wait and be alert for the clues. Danger signal when high of day is higher than high of previous day but close is below the close of the previous day and volume of current day is higher than volume of previous day. If sit with it during the rise must have the courage to do the ‘right thing’, acknowledge the signal and pull the trigger. Always transact at the right time, not low or high

Will allows us to accomplish our goals, not our intellect- will to suffer hard work and incredible persistence leads to attainment of the impossible, no shortcuts

The individual, not the group that led to the great discoveries in humanity, technology, medicines, politics, fortunes etc

Placed NYT, WSJ and London times on seats every morning to study in dark silence

What people do, not what they said they were going to do

Some people wanted to see the chaos, JL wanted to stay untouched by these human reactions

No talking during market hours, wanted no distractions while market was open

Can die financially in a heartbeat

No one knew better how fast things could change in the market

Remembered the prices

Tape tells everything if smart enough to read it, must fight fear and greed

Tape life of its own, its verdict final

Kept numerical diary in secret and discussed with no one, certain recurring numerical patterns emerged

Had no time to waste rationalizing the action of a stock, could be a million reasons, by the time reasons understood the change is already a historical event

Majority of people lost money, no plan, just gambling

Either control greed and fear or they control you

Always learn and thereby profit from mistakes, no arguing with the tape, tape is always is right, players are wrong

Win when all factors in favor, when patient and all ducks line up in a row, thus no one can profitably trade the market all the time (Baruch too)

10% rule (but took quick losses if didn’t feel right)

Answer always out there, must figure it out

Get the facts, make a judgment, act IN TIME before it’s too late

Always false clues, bad conditions etc

Quest in analysis to find out why he made or lost money

Nothing changes in market except for players, pockets and memories

1901 looked for big break, severe correction and then rally (had it right but went bust b/c of timing) then back to small gains/chops

Have to lose b/c teaches what not to do, if you do again then no hope

Always evaluate and appraise general conditions and determine line of least resistance, up down or sideways, if trend not in your favor then at extreme disadvantage

To anticipate the market is to gamble, to be patient and react when the market gives the signal is to speculate

Imperative not to sell until good reason, and if general trend with you than have to let it play out

Novices, second grade suckers (42months), third grade who buy at the bottom, don’t be the sucker (said still was)

Pivot points for the big swings, where real money is made

Bad news in a bull market takes a lot longer to sink in

Did no trading for three days as watched stock (UNP)

Follow only own method despite best intentions of others

Concentrated on basic conditions before picking a stock and follow line of least resistance

The best are good money managers

Not whether the market or stock would turn, but WHEN it turned, TIMING EVERYTHING

Send out probes, position size determined beforehand, go 60% on 20,20,20 and then wait for further move and correction

If moved against would be patient and wait or close out

Only side to avoid is wrong side

Speculator proved wrong if stock moves against you, must admit it quickly and close the trade

. Big money in big swings and in waiting for basic trend to play out, and ride it before the inevitable change in basic trend seen in line of least resistance

1) Decide on overall direction, 2) Develop buying strategy 3) Be patient and wait for the facts and the big move to play out

Examined factors carefully and decided market was cresting even though line of least resistance still appeared upward and slowly increased positions on each failed rally

Been wiped out many times by not closing out positions but close out only when reason other than fearful of losing profits

After thousands of trades and hundreds of hours examining trading techniques, knew he was right in that big money made in the big swings, although clipping points served well in building stake

Advanced from gamble to true speculator who looked ahead, evaluated general conditions and moved prudently, testing first and then plunging ONLY when convinced all factors in favor and essential secret of success was the hard work of never ending analysis

Worked every night on sheets of long column paper looking for trends, patterns and timing mechanisms

Quiet and secretive

If choose to take up speculating for a living it has to be studied intelligently and worked twice as hard as any other profession

When good luck came in unpredicted windfall, would take it and not wait for more good luck

Only time ever really lost money was when broke rules

Interested in only what tape told him, market does what wanted, not what expected

“If know something about stock, don’t tell me”

Could deal with failure, not success

38 filed bankruptcy

If a lil ahead of time you’re an eccentric, a lil late failure, if you hit it right on the head you’re a genius (Tom Watson- IBM founder)

Stocks react positively when cross par 100,200,300

Six long weeks studying tape, analyzing every trade as it crossed the ticker

He knew his biggest enemy was own emotions

Work hard to avoid emotional flaws

Like bear markets, bull markets do not last forever

When leaders start to top out and roll over, first signal for bear market

Don’t change precipitously in either direction, give plenty of signals, clues if can read objectively

Coffee trade was right but regulators got him

If stock languished after break in price in sideways channel, would probably keep going down but watched for deciding move before acting

No end to the learning process, game never over and could never know enough or get lucky enough to beat the market all the time

Market student who occasionally traded correctly

Ability to see what is happening without emotion, make observations others don’t and a good memory to remember facts correctly, particularly mathematic facts

Only speculate if can make it a full time job, don’t take tips and don’t try to catch tops or bottoms, is fools play

Take losses quickly and don’t brood, learn from them as inevitable as death, and ONLY make a big move when the majority of facts in your favor

Don’t try to play all the time, can’t be done, too hard on the emotions, made biggest moves and profits b/c had some cash sitting in reserve

Always be thinking, figuring percentages and probabilities

Industry group movements critical from both sides

Trade market leader, not the bargain and not always conventional leader, sometimes smaller well-manages stock assumes leadership with new product and knocks out the old one

Leading groups of one market most likely not leading group of next major market, followed only leading groups b/c if couldn’t make money there than won’t make

As favored groups got weaker and collapsed it usually meant correction in the market as a whole

Also used group action in commodities

Bed at ten and up no later than 6 for quiet, solitary strategy time

Hope, ignorance, greed, fear distort reason

People always move en masse b/c want company, where it gets complicated b/c want to trade line of least resistance, but detect when the change in trend starts to disappear to separate from popular thinking

Whenever detected change and wasn’t sure when, cashed in positions and waited. Is the change in trends that hurts most speculators, so use probes to test

Factors which marked the end of a major market move was heavy volume with stalled prices where leading stocks don’t make new highs

Always look for heavy volume in either individual stock, commodity or market

Not uncommon for stocks to suddenly spike in a straight shot with heavy volume and then stop, roll and retreat never to make a new high before onslaught of major correction

Always have wind at back, keep it out of face and when sideways market hits get out, go fishing

Staying out always difficult but is essential to not only wait for all factors but to seek emotional balance which is most critical

No windows in new office

On desk in/out baskets, pad and pencil and nothing else

Would beware of deep price fluctuation

People paint tape to get light volume stocks going

Liked sleepy stocks he could wake up (either way-lba?), still had to be on line of least resistance though

Wise trader knew that waited until a bottom firmly established before buying

True new high is when stock broke through overhead supply of stock

Action with leading stocks which change with every market

Never goes up or down forever but when changes direction, it remains in that new trend until it is stopped

Crash happens every 20-30 years, length of financial memory and length of time for new set of suckers to come in and imagine they have a wonderful fix on the future

Winter of 1928 until early spring was a full-fledged bull in a runaway bull market, but was looking for the change. Made a list of leading stocks that thought were overextended as line of least resistance went from up to sideways, correction of upward spike or change? Experience and extinct said the top, but TIMING was everything, not whether the top coming, but when

Commodities were dropping to secular lows and first shorts were right but then wrong and covered, then did again and they held. Everyone was bullish and things couldn’t have been better

Leaders were struggling, but public arrived in full force, barbers, shoe-clerks doc’s, etc

Must play by rules for life amid constant study b/c never entirely figure them out

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