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Are Subjective Expectations Formed as in Rational Expectations Models of Active Management?
Journal article   Open access   Peer reviewed

Are Subjective Expectations Formed as in Rational Expectations Models of Active Management?

Magnus Dahlquist, Markus Ibert and Felix Wilke
Management Science
2025-11-21

Abstract

alpha expectations formation mutual funds
We recover forward-looking expected net-of-fee abnormal returns (alphas) for active equity mutual funds from analyst ratings. In contrast to the typical equilibrium implication of zero alphas, analyst alphas are negative for most funds, but positive for the largest funds. We compare analysts' subjective expectations with expectations from a rational expectations learning model. The model's rational learner believes that an increase in fund size leads to a decrease in returns, but we find no evidence that analysts believe so. Consistently, counterfactual ratings based on the rational model tend to outperform analysts' ratings out of sample. Investor fund flows respond significantly to analyst ratings.
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