The FundQuest Unified Managed Account

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1 U N I F I E D M A N A G E D A C C O U N T The FundQuest Unified Managed Account A Simple and Powerful Managed Account Solution Offered by FundQuest, a leading managed account solutions provider

2 A Powerful Combination of Simplicity and Sophistication FundQuest s Unified Managed Account (UMA) is a professionally managed portfolio that offers multiple investment styles and multiple investment products within a single coordinated account. FundQuest was one of the first firms to offer a comprehensive UMA and now offers a third generation of UMA technology and services. Advisors have recognized the UMA s benefits and, according to the Money Management Institute, the number of clients with UMAs has grown rapidly. Investment professionals and their clients benefit from: The simplicity of a single managed account to coordinate a diverse set of carefully researched mutual funds, ETFs, and separate account strategies The sophistication of a diversified portfolio, including multiple SMA strategies, within a $250,000 Unified Managed Account (minimum account size) Portfolios that balance return objectives and volatility considerations based on an individual client s risk tolerance and time horizon Increased diversification of investment strategies because typical SMA (separately managed account) minimums do not apply inside FundQuest s UMA Coordination of trading activity and rebalancing performed by FundQuest Customization via exclusions of specific securities Tax sensitive portfolios and tax harvesting opportunities Transition services to plan and implement the transfer of existing assets Reduced paperwork and maintenance versus multiple product-specific accounts Advanced UMA technology to support efficient account administration Comprehensive Fully Supported Unified Managed Account Dynamic Investment Selection Sales & Operational Support SMA Strategies, Mutual Funds, ETFs Quarterly & On-Demand Reports FundQuest UMA Research Technology Administration Overlay Portfolio Management Tax Management Ongoing Due Diligence & Rebalancing Client-Specific Customization

3 FEATURES Multiple investment products and styles within a single account Account customization Comprehensive overlay portfolio management Tax management opportunities Single account administration Dynamic in-depth investment selection and monitoring Advanced proposal technology Advanced quarterly and online performance reporting capabilities Sales, transition, and operational support Advanced technology and back-office administration BENEFITS Broadly diversified portfolio with carefully selected mutual funds, separate account strategies, and ETFs Advisor can personalize an investor s portfolio by restricting specific securities FundQuest coordinates account activities across entire UMA portfolio to manage securities transactions efficiently, avoid conflicting manager recommendations and wash sales, and provide parameter-driven rebalancing Advisors gain time to focus on growth through one-on-one client service and advice Manage tax exposure through tax sensitive models and execution of tax harvesting requests Reduced paperwork, reporting, and cross-product coordination (versus traditional multiple account structure) In-depth quantitative and qualitative research by FundQuest s investment management and research team to identify best-of-breed investments Rigorous analysis provides diversification across asset classes and across a wide universe of domestic and international style categories Fast on-demand investment proposal technology with integrated profiling, research, and portfolio diagnostics to generate client-specific UMA recommendations Sophisticated but easy to understand quarterly performance reports generated by FundQuest On-demand 24/7 web access to client portfolio information Experienced national team provides training, proposal support, account maintenance, and transition planning and implementation to move assets to UMA Specialized UMA technology and well-defined back-office procedures ensure quality account operations

4 Proposal Automation, Diagnostic Tools, and Performance Reports Overlay Portfolio Management Services and Technology FundQuest s overlay management services coordinate the UMA portfolio across the underlying investment products. These services leverage FundQuest s cutting edge UMA technology, back-office quality processes, and investment management expertise to: Manage portfolio transactions efficiently and avoid buy/sell/hold manager instruction conflicts Process tax harvesting requests Provide wash-sales oversight Implement client customization requests Rebalance portfolios to maintain the target asset allocation Overlay Portfolio Management Processes Coordinate buy/sell/hold instructions Implement client-specific customization Rebalance to targeted allocations Process tax harvesting requests Results Coordination of managers and styles across: ETFs, mutual funds, & separate account strategies Product and style diversification Integrated view of performance versus objectives

5 Dynamic Investment Selection and Recommendation Process Strategic Asset Allocation Tactical Category Allocation Investment Selection Quantitative Analysis Qualitative Analysis Ongoing Monitoring & Rebalancing Strategic Asset Allocation The foundation of FundQuest s investment process is asset allocation the amount of a portfolio allocated between the broad asset classes of stocks, bonds and cash. FundQuest s diversified UMA portfolios can help to mitigate the ups and downs of market performance, reduce risk, and potentially enhance portfolio returns. Tactical Category Allocation FundQuest further diversifies each UMA portfolio s allocation by style and market capitalization. Both stock and bond allocations may be diversified geographically via international securities. In-Depth Quantitative and Qualitative Analysis Using both quantitative and qualitative analysis to identify appropriate securities in each category or style, FundQuest follows a disciplined research process to select best-of-breed money managers and mutual funds for FundQuest managed models. Quantitative Analysis Using both proprietary and external tools, managers are evaluated against benchmarks and peers on criteria including: Risk traditional alpha and beta, & standard deviation Performance how managers perform in up & down markets over time periods of 1, 3, 5, 10, 15 years, and since-inception Sector Weighting neutral or biased Security Concentration over or under diversified Style Consistency adherence to investment philosophy and process Portfolio Attribution what is driving the returns Qualitative Analysis Understand who and what contributed to past performance by evaluating: Experience investment team qualifications and depth Fees manager and trading costs Buy/Sell Discipline buy and hold or active trading Philosophy does the manager s process support it Compliance reporting and controls

6 A Strategic Partner to Accelerate Your Business Growth FUNDQUEST Experience and Innovation: Founded in 1993, FundQuest is the best partner to help advisory firms grow their business. FundQuest provides open architecture investment services and the most innovative advisor productivity tools to advisory institutions Best Services and Support: FundQuest is the most flexible service provider with the best overall support services for both management and advisors The Choice of Leaders: FundQuest platforms are available to a national network of 49,000 financial advisors through more than 130 institutions including RIAs, insurance companies, independent broker dealers, banks, and trust and wealth management firms Investment Management Expertise: FundQuest s investment management team has more than 48 analysts, in its combined US and European operations, who perform in-depth quantitative and qualitative investment due-diligence Operational Scale: FundQuest has $64 billion under management and administration in its combined US and European operations, and is part of BNP Paribas, one of the world s largest financial services firms Services are offered in the U.S. through FundQuest Incorporated, a Registered Investment Advisor, located at One Winthrop Square, Boston MA For more information please contact FundQuest Call: Visit: FOR INVESTMENT PROFESSIONAL USE ONLY. NOT TO BE DISTRIBUTED TO THE GENERAL PUBLIC. FundQuest Incorporated The FundQuest name and logo are registered trademarks of BNP Paribas. V FundQuest s UMA Programs offer investment professionals potential tax planning opportunities for their clients. However, FundQuest does not provide tax advice to investment professionals or their clients. Investment professionals and their clients are advised to rely on tax forms and related information provided by the custodian of assets for tax reporting purposes and should seek a qualified tax professional for specific advice. E 50% Recycled Content

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