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1 1 Copyright Phoenix Marketing International All rights reserved.

2 D A V I D M. T H O M P S O N Managing Director Phoenix Affluent Market +44 (0) / London / New York / Mobile / Fax OVERVIEW OF GEOGRAPHICAL OFFERINGS Spring / Summer 2012

3 AFFLUENT MARKET INTELLIGENCE Phoenix Global Wealth Monitor is a syndicated marketing-research platform that continuously tracks the needs, attitudes and behaviors of affluent and high net worth (HNW) investors in the U.S., Canada and seven European countries. You can get an informed perspective on factors such as: Wealth, income, debt, age and other demographics Investing approach, attitudes and outlook Asset allocation, financial products owned and balances Fund selection criteria and future intentions Proportion of fund investments by brand Fund portfolio (asset classes, fund types and funding intentions) Advice orientation, advisors used and depth of relationship 3 Copyright Phoenix Marketing International All rights reserved.

4 NO ONE ELSE MATCHES PHOENIX Our team has decades of experience and knowledge in the industries that market to affluent and high net worth investors. We put that to work in analyzing and interpreting our data, and identifying opportunities or unmet needs for your business. QUANTITATIVE DATA QUALITATIVE INSIGHT EXPERT ADVICE Our data comes from online interviews with thousands of investors. We conduct surveys six times a year in the United States and twice yearly elsewhere. As a Phoenix Global Wealth Monitor subscriber, you can even include proprietary questions in each survey. In addition to collecting data, we help you make sense of it. In contrast with off-the-shelf reports, our reports are tailored according to your business needs. We identify relevant trends in the data and work with you to determine how they might impact your Finally, we turn insight into advice. Based on the trends, we help you figure out how to capitalize on unmet needs and opportunities. Customized recommendations span client retention and acquisition, product development, messaging to target audiences and much more. 4 Copyright Phoenix Marketing International All rights reserved.

5 BUILD YOUR AFFLUENT AND HIGH NET WORTH BUSINESS Using continuous survey research as our platform, we assist our clients in understanding the investor and consumer trends and issues that impact their affluent and high-net worth markets, and in developing actionable strategies to solve business challenges. Strengthen client relationships Acquire new clients Accelerate product development Sharpen your messages Improve client retention Differentiate from the competition 5 Copyright Phoenix Marketing International All rights reserved.

6 BUILD YOUR AFFLUENT AND HIGH NET WORTH BUSINESS Using continuous survey research as our platform, we assist our clients in understanding the investor and consumer trends and issues that impact their affluent and high-net worth markets, and in developing actionable strategies to solve business challenges. GWM INSIGHTS BUSINESS BENEFITS Our advice led a large asset management firm to successfully launch a new online product to a specific segment of affluent investors. Optimizes new product development Enables faster product launches Improves informed decision-making Our advisor channel analysis uncovered key gaps in high net worth client relationships. Strengthens market positioning Sharpens financial brand s competitive edge Client re-directed field resources to address the problem. Speeds revenue generation Increased marketing efficiency 6 Copyright Phoenix Marketing International All rights reserved.

7 A SAMPLING OF CLIENTS Global and regional financial brands use our research and insights to design, launch and manage products and deepen their market knowledge expertise. 7 Copyright Phoenix Marketing International All rights reserved.

8 GEOGRAPHICAL REACH Our comprehensive survey research platforms currently cover the U.S., Canada, and Europe, with Asia coming on board soon. UNITED STATES CANADA EUROPE ASIA About 7,500 qualified interviews per year Fields every other month Trending since 2003 About 3,000 interviews per year Fields twice yearly Trending since 2007 France, Germany, Italy, Russia, Spain, Switzerland, UK About 5,500 qualified interviews per year Fields twice yearly China, Hong Kong, Indonesia, Japan, Singapore About 3,000 interviews per year (initially) Will field twice yearly Trending since Copyright Phoenix Marketing International All rights reserved.

9 EUROPE: QUESTIONNAIRE CONTENT Our questionnaires capture in-depth data on affluent and HNW household demographics, and needs, behaviors and attitudes towards investing and wealth management. DEMOGRAPHICS Country Investable assets Net worth and total assets Income Age Occupation Household size Business ownership Education Events in past year that trigger need for advice Source of wealth INVESTMENT SENTIMENT Attitudes towards investing, economy, wealth, advice and advisors, aggregation Orientation towards advice Concerns that impact the household Key financial goal Sentiment towards increasing or decreasing investments Asset classes increased or decreased past 3 months Investment intentions next 3 months Risk tolerance ONLINE TRADING ACCOUNTS CHANNELS FOR ADVICE AND INVESTMENTS Names of top 5 investment providers Name of primary advisor Channels types AUM with each provider (% of assets) Onshore or offshore (preferences) Services used with each provider and why (depth of relationship analysis) Current and preferred compensation to advisor Importance of elements of advisory relationship and ratings How began advisor relationship Switching intentions; what it would take for investor to switch CONTINUED 9 Copyright Phoenix Marketing International All rights reserved.

10 EUROPE: QUESTIONNAIRE CONTENT INVESTMENT PRODUCTS: OWNERSHIP AND CURRENT MARKET VALUE Note: products covered will be based on investor s country of primary residence Professionally Managed accounts Trusts: types, whether professionally managed and channel used Hedge funds and funds of funds Structured products Custody accounts Separate accounts Wrap accounts Stocks and Bonds Stocks, including foreign vs domestic, restricted and preferred Stock options or futures Bonds, including government, international, municipal Mutual Funds Taxable and tax-exempt money market Domestic vs foreign Corporate and government funds Exchange traded Retirement Government sponsored accounts Other accounts Funds Types of funds Funds owned by asset class Likelihood to change exposure by asset class Most attractive asset classes Country-specific funds Risk profile intentions Proportion of fund investments held by fund company Exchange Traded Funds: why selected, attitudes Hedge Funds: attitudes Deposit Accounts Closely Held Businesses or Business Partnerships Limited Partnerships Venture Capital / Private Equity / Private Placements Vested Stock Options / Restricted Rights Unvested Stock Options / Restricted Rights Collectibles Precious Metals Insurance and annuities Brokerage accounts Company used Other investment choices CONTINUED 10 Copyright Phoenix Marketing International All rights reserved.

11 EUROPE: QUESTIONNAIRE CONTENT CREDIT CARDS Note: products covered will be based on investor s country of primary residence Credit cards in wallet, by issuer and brand Average amount charged and average revolving balances, by issuer by brand Likelihood to apply for a new credit card, by brand Number cards owned Transactor vs Revolver Card acquisition intentions and methods used to get information Primary card issuer, type of card Percent of total purchases made with card Rewards programs Satisfaction and loyalty with primary card Payment methods used for online shopping DEBIT CARDS Note: products covered will be based on investor s country of primary residence Debit cards in wallet by issuer Average amount debited Frequency of use Primary debit card issuer Rewards programs MORTGAGES AND LOANS Mortgages on principal residence Home equity loan Mortgages on vacation homes, second or third homes Margin loans Secured and unsecured business loans Secured and unsecured personal loans Auto loans or leases REAL ESTATE Primary residence Other homes / vacation homes Undeveloped land Commercial properties owned in investor s name 11 Copyright Phoenix Marketing International All rights reserved.

12 THOUSANDS OF INTERVIEWS WITH HNW INVESTORS We conduct thousands of online interviews annually. Our affluent and HNW respondents are carefully screened to ensure they are qualified, and data are thoroughly examined to eliminate outliers or unqualified respondents. Global Wealth Monitor continuously tracks the needs, behaviors and attitudes of affluent and high net worth consumers, while competitors often conduct their studies annually or bi-annually. We stay on top of evolving issues or events that will impact your business. Proprietary questions: each client can insert 3-4 questions per wave that address your business issues Raw datafiles available upon request 12 Copyright Phoenix Marketing International All rights reserved.

13 APPROXIMATE YEARLY SAMPLE OF QUALIFIED RESPONDENTS BY COUNTRY EUROPE Segment GBP UK Euros Near Affluent < 150k IA and 53k- 104k HH Inc Emerging < 150k IA and 105k+ Affluent HH Inc Mass Affluent 150k- 649k IA and 53k+ HH Inc 650k+ IA and 53k+ High Net Worth HH Inc Total Total Affluent 150k+ IA or 105k+ HH Inc < 175k IA and 60k- 119k HH Inc < 175k IA and 120k+ HH Inc 175k- 774k IA and 60k+ HH Inc 775k+ IA and 60k+ HH Inc Germany Italy Spain France Switzerland Russia* k+ IA and 120k+ HH Inc * Survey will be denominated in Rubles UNITED STATES Segment Definition Approx. Yearly Sample Near Affluent <$250k IA and $50k-$149k HH Inc Emerging Affluent <$250k IA and $150k+ HH Inc. 700 Mass Affluent $250k - $999k IA 2800 High Net Worth (Wealth Market) $1MM+ IA 3100 Total Affluent $250k+ IA or $150k+ HH Inc 6600 Other Segments Definition Approx. Yearly Sample Penta-Millionaire $5MM+ IA 500 CANADA Segment ($ CAN) Approx. Yearly Sample $100k - $499k IA 925 $500k - $999 IA 925 $1MM+ IA 1150 Total Affluent 3000 IA = Investable Assets (Liquid Wealth) Deca-Millionaire $10MM+ IA Copyright Phoenix Marketing International All rights reserved.

14 D A V I D M. T H O M P S O N Managing Director Phoenix Affluent Market +44 (0) / London / New York / Mobile / Fax GLOBAL WEALTH MONITOR DASHBOARD REPORTER A New Paradigm In Delivery of Syndicated Marketing Research

15 EXISTING SYNDICATED MODEL CAN FALL SHORT The syndicated marketing research model has worked well for years: researchers get economies of scale by conducting the research, writing the reports, and selling the same reports to clients. Clients get cost effective research data and insights. However Syndicated reports often do not address the specific demographics or other needs of clients markets; Reports are often quickly outdated in today s fast-moving business environment. Phoenix has overcome some of these shortcomings by providing custom reports and presentations to clients. Still, technology has evolved to where we can offer a new syndicated paradigm to clients Introducing the Global Wealth Monitor Dashboard Reporter. 15 Copyright Phoenix Marketing International All rights reserved.

16 GLOBAL WEALTH MONITOR DASHBOARD REPORTER ON-DEMAND AFFLUENT INVESTOR PROFILING The Global Wealth Monitor Dashboard Reporter is designed to put the power of our extensive databases of affluent and HNW consumer interviews in your hands. Conduct your own analyses from our latest investor database. We customize the dashboard based on your unique business needs. Get the information you want: demographics, geography, investing outlook and more. Print professional-quality charts and tables at the touch of a button Advisory service options from Phoenix consultants help you make the most of the Dashboard Reporter 16 Copyright Phoenix Marketing International All rights reserved.

17 GLOBAL WEALTH MONITOR DASHBOARD REPORTER CUSTOMIZED TO YOUR BUSINESS NEEDS We can tailor the GWM Dashboard Reporter to your market priorities, wealth segment, product purchase preference, or many other ways. FILTER VARIABLES We can also customize the data that will be used to profile your markets, wealth segments, and product priorities, or metrics that you need to report internally on a periodic basis. PROFILING VARIABLES 17 Copyright Phoenix Marketing International All rights reserved.

18 GLOBAL WEALTH MONITOR DASHBOARD REPORTER INTERACTIVE ANALYSIS ON YOUR DESKTOP For example, you could use the dashboard to examine HNW investors in the UK who prefer to acquire funds direct with a fund manager. INSIGHT: fund performance is critical to their fund selection. 18 Copyright Phoenix Marketing International All rights reserved.

19 GLOBAL WEALTH MONITOR DASHBOARD REPORTER INTERACTIVE ANALYSIS ON YOUR DESKTOP Or you might want to determine the portfolio orientation of Mass Affluent who prefer to acquire funds via an advisor 19 Copyright Phoenix Marketing International All rights reserved.

20 GLOBAL WEALTH MONITOR DASHBOARD REPORTER INTERACTIVE ANALYSIS ON YOUR DESKTOP versus those who prefer to acquire funds through a fund platform 20 Copyright Phoenix Marketing International All rights reserved.

21 GLOBAL WEALTH MONITOR DASHBOARD REPORTER PROFESSIONAL-QUALITY OUTPUT At the touch of a button you can print out a full deck of professionalquality charts and tables that is linked to the variables you selected in your dashboard. PRINT 21 Copyright Phoenix Marketing International All rights reserved.

22 GLOBAL WEALTH MONITOR DASHBOARD REPORTER EXTENSIVE ADVISORY SERVICES Your GWM Dashboard Platform can include extensive advisory support options from Phoenix Marketing International consultants. Proprietary questions and an annual Key Trends summary can also be included. DASHBOARD DESIGN We work with your team Phoenix Advisory to design Services the Dashboard IMPLEMENTATION Reporter filtering and profiling variables. We will also perform testing to ensure accuracy. We can train your team, including advisors, on how to use the Dashboard Reporter and leverage it within the company INTERPRETATION AND INSIGHTS We will lead an onsite workshop with your team to conduct what-if scenarios using the Dashboard Reporter, clarifying business implications and actionable recommendations 22 Copyright Phoenix Marketing International All rights reserved.

23 GLOBAL WEALTH MONITOR DASHBOARD REPORTER TEST DRIVE IT FOR YOURSELF We invite you to try a working demo of the GWM Dashboard (GWM Europe). You will be able to create different data output by changing the filtering variables. The Full Powerpoint Report button will send a demo (unlinked) output report to the address you select. Your customized dashboard will produce an output report based upon your filtering and profiling variables. Please note: some of the filtering buttons on the demo dashboard are non-working, for example purposes only. To try a working demo of the Global Wealth Monitor Dashboard Reporter, paste this URL into your browser: 23 Copyright Phoenix Marketing International All rights reserved.

24 24 Copyright Phoenix Marketing International All rights reserved.

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