RBC Dain CS Service Fee Suggested Fee Range

Transcription

1 RBC DAIN CS FEE SCHEDULES FOR FEE BASED PRODUCTS Brokerage Choice Account: A Fee in lieu of commission program RBC Dain CS Trade Allotment Suggested Fee Range Account Size Service Fee ($21/Trade Above Limits) (Includes RBC Dain CS (Basis Points) Service Fee) $25,000 - $250,000 '45 '50 trades 1.65% % $250,001 - $500,000 '25 '100 trades 1.35% % $500,001 - $1,000,000 '20 '150 trades 1.25% % $1,000,001 - $2,000,000 '15 '200 trades 1.20% % $2,000,001 - $3,000,000 '14 '225 Trades 1.15% % $3,000,001 - $5,000,000 '12 '250 Trades 1.13% % $5,000,001 - $10,000,000 '10 '300 Trades 1.12% % $10,000,001 & Above 'Negotiable 'Negotiable Negotiable Investment Access Account Included Free with Brokerage Choice Account Pay-Out is Based on General Securities Schedule Resource II: Private Money Management (Separate Account for Each Money Management Company) Program includes Third-Party Stock and Bond Funds RBC Dain CS Service Fee Suggested Fee Range Account Size (Basis Points) (Includes RBC Dain CS (manager's fee & all trade costs are included) Service Fee) Equity Fixed Income $100,000 - $250,000 '100 ' % % $250,001 - $500,000 '80 ' % % $500,001 - $1,000,000 '75 ' % % $1,000,001 - $2,000,000 '70 ' % % $2,000,001 - $3,000,000 '68 ' % % $3,000,001 - $5,000,000 '67 ' % % $5,000,001- $10,000,000 '65 ' % % Above $10,000,000 Negotiable Negotiable Negotiable Pay-Out is Based on Fee Based Commission Schedule RBC Dain CS Total Strategy Account (TSA) Private Money Management in One Consolidated Account Program includes a list of Third-Party Equity Managers and Funds and a list of eligible bond mutual fund and ETFs in lieu of Third-Party Bond Funds. RBC Dain CS Service Fee Suggested Fee Range Account Size Based on % in Separately Managed Accounts (Includes RBC Dain CS (manager's fee & all trade costs are included) Service Fee) Below SMA min. Service Fee (Basis Points) >80% '90 $250,001 to 61-80% ' % ' % % '$500, % '65 <20% '60 >80% '85 $500,001 to 61-80% ' % ' % % $1,000, % '60 <20% '55

2 >80% '80 $1,000,001 to 61-80% ' % ' % % '$2,000, % '55 <20% '50 >80% '78 $2,000,001 to 61-80% ' % ' % % '$3,000, % '55 <20% '47 >80% '77 $3,000,001 to 61-80% ' % ' % % '$5,000, % '53 <20% '45 >80% '75 $5,000,001 to 61-80% ' % ' % % '$10,000, % '51 <20% '43 Above $10,000,000 Negotiable Negotiable Negotiable Min. Account $250,000 Pay-Out is Based on Fee Based Commission Schedule DCS Advisor: A wrap fee program Client Accounts Can Include Mutual Funds, Stocks, Bonds, ETFs, and Options RBC Dain CS Trade Allotment Suggested Fee Range Account Size Service Fee ($21/Trade Above Limits) (Includes RBC Dain CS (Basis Points) Service Fee) $25,000 - $250,000 '50 ' % % $250,001 - $500,000 '30 ' % % $500,001 - $1,000,000 '25 ' % % $1,000,001 - $2,000,000 '20 ' % % $2,000,001 - $3,000,000 '18 ' % % $3,000,001 - $5,000,000 '17 ' % % $5,000,001- $10,000,000 '15 ' % % Above $10,000,000 Negotiable Negotiable Negotiable Pay-Out is Based on Fee Based Commission Schedule All Fees For All Programs Billed In Advance Based On Balance At Beginning Of Quarter Unbundled Managed Account Services (UMAS) UMAS Quarterly Account Fees Checkfree APL Portfolio Management Tools Billing Services Performance Reporting Checkfree APL Port. Management Tools, Billing, & Perf. Reporting Checkfree APL Portfolio Management Tools and Billing Checkfree APL Port. Management Tools & Perf. Reporting $40 per account $30 per account $35 per account $55 per account $50 per account $45 per account Trades occurring in UMAS accounts are added to overall Trade Counts and assessed Clearance and Execution fees according to the firms' regular Ticket Fee Schedule. Additional fees, including clearance and execution, as documented in the Fee Schedule would be in addition to the fees outlined in the above table.

3 Resource II and Total Strategy Participating Money Managers U.S EQUITIES LARGE CAP GROWTH MID CAP GROWTH SMALL CAP CORE Apex Capital Management (RBC) Chartwell Investment Partners Dana Investment Advisors Dana Investment Advisors Eagle Boston Investment Mgmt Logan Capital Management (RBC) MID CAP CORE PNC Capital Advisors (RBC) Mastrapasqua Asset Management Invesco Management Accounts (W) RBC Global Asset Management Montag & Caldwell (RBC) Madison Investment Advisors (RBC) Neuberger Berman Segall Bryant & Hamill (RBC) SMALL CAP VALUE Oak Ridge Investments (W) Columbia Management (RBC) Polen Capital Management MID CAP VALUE C.S. McKee (RBC) Wedgewood Partners Anchor Capital Advisors (RBC) Fox Asset Management (RBC) Hahn Capital Management (RBC) Metropolitan West Capital Management* LARGE CAP CORE Snow Capital Management (RBC) Atalanta Sosnoff Management (RBC) SMALL-MID CAP GROWTH WCM Investment Management* Dana Investment Advisors Apex Capital Management (RBC) Estabrook Capital Management (RBC) (W) Oak Ridge Investments* MULTI CAP GROWTH Fairpointe Capital LLC (RBC) Riverbridge Partners (RBC) ClearBridge Investments* Madison Investment Advisors (RBC) Geneva Advisors (RBC) Santa Barbara Asset Management (RBC) SMALL-MID CAP CORE Oak Ridge Investments Sovereign Asset Management Kayne Anderson Rudnick (RBC) (W)(R) Riverbridge Partners Thornburg Investment Management (W) SouthernSun Asset Management (RBC) Victory Capital Management (RBC) MULTI CAP CORE SMALL-MID CAP VALUE Al Frank Asset Management LARGE CAP VALUE Schafer Cullen Davis Advisors* Aristotle Capital Management (RBC) Westwood Management Corp. (C) King Investment Advisors* C.S. McKee (RBC) Kirr, Marbach & Company Cambiar Investors, LLC SMALL CAP GROWTH Neuberger Berman* Columbia Management (RBC) Conestoga Capital Advisors Roosevelt Investment Group Davis Advisors* (W) RBC Global Asset Management Segall Bryant & Hamill (RBC) Eaton Vance Management (RBC) (W) Riverbridge Partners TAMRO Capital Partners (RBC) Metropolitan West Capital Management WHV Investment Management* NWQ Investment Management* MULTI CAP VALUE Thornburg Investment Management* (W) Brandes Investment Partners* Snow Capital Management Equity Investment Corporation Westwood Management Corp.* James Capital Alliance* Marshfield Associates Minneapolis Portfolio Management Group Snow Capital Management* Westwood Management Corp. This list is subject to change without notice RBC Capital Markets, LLC. All rights reserved. WMPS_040 06/13 Page 1 of 2 (C) denotes manager is on the Closed List (W) denotes manager is on the Watch List (R) denotes manager is on the Restricted List denotes available in Total Strategy only *denotes available in Resource II only (RBC) denotes Traded by RBC Overlay Manager in Resource II

4 Resource II and Total Strategy Participating Money Managers U.S EQUITIES LARGE CAP GROWTH MID CAP GROWTH SMALL CAP CORE Apex Capital Management (RBC) Chartwell Investment Partners Dana Investment Advisors Dana Investment Advisors Eagle Boston Investment Mgmt Logan Capital Management (RBC) MID CAP CORE PNC Capital Advisors (RBC) Mastrapasqua Asset Management Invesco Management Accounts (W) RBC Global Asset Management Montag & Caldwell (RBC) Madison Investment Advisors (RBC) Neuberger Berman Segall Bryant & Hamill (RBC) SMALL CAP VALUE Oak Ridge Investments (W) Columbia Management (RBC) Polen Capital Management MID CAP VALUE C.S. McKee (RBC) Wedgewood Partners Anchor Capital Advisors (RBC) Fox Asset Management (RBC) Hahn Capital Management (RBC) Metropolitan West Capital Management* LARGE CAP CORE Snow Capital Management (RBC) Atalanta Sosnoff Management (RBC) SMALL-MID CAP GROWTH WCM Investment Management* Dana Investment Advisors Apex Capital Management (RBC) Estabrook Capital Management (RBC) (W) Oak Ridge Investments* MULTI CAP GROWTH Fairpointe Capital LLC (RBC) Riverbridge Partners (RBC) ClearBridge Investments* Madison Investment Advisors (RBC) Geneva Advisors (RBC) Santa Barbara Asset Management (RBC) SMALL-MID CAP CORE Oak Ridge Investments Sovereign Asset Management Kayne Anderson Rudnick (RBC) (W)(R) Riverbridge Partners Thornburg Investment Management (W) SouthernSun Asset Management (RBC) Victory Capital Management (RBC) MULTI CAP CORE SMALL-MID CAP VALUE Al Frank Asset Management LARGE CAP VALUE Schafer Cullen Davis Advisors* Aristotle Capital Management (RBC) Westwood Management Corp. (C) King Investment Advisors* C.S. McKee (RBC) Kirr, Marbach & Company Cambiar Investors, LLC SMALL CAP GROWTH Neuberger Berman* Columbia Management (RBC) Conestoga Capital Advisors Roosevelt Investment Group Davis Advisors* (W) RBC Global Asset Management Segall Bryant & Hamill (RBC) Eaton Vance Management (RBC) (W) Riverbridge Partners TAMRO Capital Partners (RBC) Metropolitan West Capital Management WHV Investment Management* NWQ Investment Management* MULTI CAP VALUE Thornburg Investment Management* (W) Brandes Investment Partners* Snow Capital Management Equity Investment Corporation Westwood Management Corp.* James Capital Alliance* Marshfield Associates Minneapolis Portfolio Management Group Snow Capital Management* Westwood Management Corp. This list is subject to change without notice RBC Capital Markets, LLC. All rights reserved. WMPS_040 06/13 Page 1 of 2 (C) denotes manager is on the Closed List (W) denotes manager is on the Watch List (R) denotes manager is on the Restricted List denotes available in Total Strategy only *denotes available in Resource II only (RBC) denotes Traded by RBC Overlay Manager in Resource II

5 Resource II and Total Strategy Participating Money Managers U.S. and GLOBAL BALANCED U.S. FIXED INCOME ASSET ALLOCATION LARGE CAP BALANCED TAXABLE FIXED INCOME Global Asset Allocation Estabrook Capital Management* (W) BlackRock Asset Management* First Trust Advisors* (RBC) NWQ Investment Management* Cincinnati Asset Management* Riverfront Investment Group* Sovereign Asset Management* Delaware Investments* Madison Investment Advisors* SPECIALITY PORTFOLIOS GLOBAL BALANCED McDonnell Investment Management* ETF MODEL PORTFOLIOS Brandes Investment Partners* SeaCap Investment Advisors* RBC Active Allocation Portfolios* (RBC) RBC Diversified ETF Portfolios* (RBC) EQUITY INCOME MUNICIPAL FIXED INCOME RBC Multi-Asset Income ETF Portfolios* (RBC) BlackRock* (RBC) BlackRock Asset Management* Chartwell Investment Partners Eaton Vance Management* MUTUAL FUND MODEL PORTFOLIOS Federated Investment Counseling (RBC) McDonnell Investment Management* RBC Alternatives Portfolio* (RBC) Logan Capital Management (RBC) Nuveen Asset Management* RBC Diversified Income Portfolios* (RBC) Miller/Howard Investments (RBC) RBC Global Asset Management* RBC Dynamic Allocation Portfolios* (RBC) Schafer Cullen (RBC) SeaCap Investment Advisors* RBC Strategic Mutual Fund Portfolios* (RBC) The London Company* (RBC) Russell Model Strategies* (RBC) REITS GLOBAL AND INTERNATIONAL INVESCO Managed Accounts* PORTFOLIO ADVISORY GROUP EQUITIES Lazard Asset Management (RBC) GUIDED PORTFOLIOS GLOBAL Guided Portfolio: ADR* (RBC) Brandes Investment Partners* PREFERRED SECURITIES Guided Portfolio: Dividend Growth* (RBC) Epoch Global Equity Yield Spectrum Asset Management* Guided Portfolio: Large Cap* (RBC) Harding Loevner LP (RBC) Guided Portfolio: Mid Cap 111* (RBC) Lazard Asset Management* (RBC) MASTER LIMITED PARTNERSHIPS Guided Portfolio: Prime Income - MLPs* (RBC) INTERNATIONAL Miller/Howard Investments, Inc. Guided Portfolio: Prime Income - MLP ETF* (RBC) Brandes Investment Partners* TACTICAL EXCHANGE TRADED Cambiar Investors (RBC) FUND PORTFOLIOS Del Rey Global Investors (RBC) Alesco Advisors LLC* (RBC) Eagle Global Advisors (RBC) Good Harbor Financial, LLC* (RBC) (W) Hansberger Global Investors Sage Advisory* (RBC) Harding Loevner LP (RBC) Tactical Allocation Group* (RBC) Lazard Asset Management* (RBC) Philadelphia International Advisors Thornburg Investment Management* Tradewinds Global Investors* WCM Investment Management* WHV Investment Management* This list is subject to change without notice RBC Capital Markets, LLC. All rights reserved. WMPS_040 06/13 Page 2 of 2 (C) denotes manager is on the Closed List (W) denotes manager is on the Watch List (R) denotes manager is on the Restricted List denotes available in Total Strategy only *denotes available in Resource II only (RBC) denotes Traded by RBC Overlay Manager in Resource II

6 Total Strategy Account, Advisor List of Participating Fund Families Investing in Advisor or Total Strategy Account offers you the ability to invest in a select group of front-end load and no-load mutual funds at NAV. Absolute Advisors Akre Al FrankG Alger AllianceBernstein Allianz Alpha AlpineG Alps FundsGG AltegrisGG AmanaG American BeaconG American CenturyGG American Funds American Growth AMFG AQR FundsG Aquila Funds ArbitrageG ArielG Arrow Artio FundsG ArtisanG AstonG Astor FundsG Auer FundsG Auxier (or Forum Funds)GG Ave MariaG AXA Enterprise Baird Baron FundsG BBHG Blackrock Boston Trust & WaldenG BrandesG BrandywineG BridgewayG BuffaloG Burnham Calamos Caldwell & OrkinG Calvert CambiarG Catalyst Funds GG Causeway FundsG CenturyG ChamplainG ChaseG Cohen & Steers Columbia ConestogaG CRA Qualified Investment FundG Crawford Funds GG Credit SuisseG CullenG CushingGG Davis Dean DelafieldG Delaware Diamond HillGG DirexionG Dividend GrowthG Dodge & CoxGG Domini Social DoubleLine FundsG DreyfusGG DriehausG Dunham FundsGG DWS ScudderGG Eagle Funds Earnest PartnersG Eaton Vance Empiric EpochG FairholmeG FBRG FederatedGG Fidelity Advisor Fifth Third FirsthandG First American First Eagle FMIG Forward Emerald FPA Franklin Templeton Frost FundsGG Gabelli GatewayG GE Geneva FundsG Goldman Sachs GreenspringG Guggenheim GG Guinness AtkinsonG HarborG Harding LoevnerG Hartford Hatteras Fund GG HeartlandG Henderson Global HennessyG Highmark HillmanG HodgesG Hotchkis & Wiley HussmanG ICMG ICONGG IMSG ING Integrity Intrepid Capital FundsG Invesco ISI IVA FundsGG Ivy JAGGG James Advantage JanusGG Jennison Dryden JensenG John Hancock JP Morgan Keeley Kensington KeystoneGG KineticsGG LKCMG LateefGG LaudusG LazardG Legg Mason Partners LeutholdG Liberty Street Funds LoCorr FundGG Longleaf PartnersG Loomis Sayles Lord Abbett MFS Madison MosaicG Mainstay ManagersG Manning & NapierG MarketfieldG MarsicoG Marshall Masters SelectG MatthewsG Metropolitan WestG Miller FundsGG Morgan Stanley MuhlenkampG Munder MutualHedge Fund NakomaG NationwideGG Natixis NavellierGG Neuberger & BermanGG New AlternativesG NicholasG North Track NuveenGG Oak AssociatesG OakmarkG Old Mutual Olstein Oppenheimer Osterweis FundsG Pacific Life (PF) Parnassus Payden FundsGG Pax WorldG Permanent PortfolioG PIMCO Pioneer PNC Funds PMC FundsG PolarisG PolenG PraxisGG Primecap OdysseyG PrincetonGG Principal Prudent BearGG PrudentialGG Putnam Pyxis FundsGG Quaker QuantG RainierG RBC FundsGG Reaves Asset ManagementG REMS FundsGG Rice Hall JamesGG Ridgeworth RiverParkG RiversourceGG RooseveltG RoyceG RS InvestmentsG RussellGG RydexGGG Santa Barbara Funds Saratoga SatuitG SchroderG Schwab FundsG ScoutG Security SEIG Selected AmericanG Seligman Sentinel SierraGG SitG SmartGrowth Snow Capital SouthernSunG SSGA Stadion SteelPathGG Sterling Capital FundsGG Strategic Partners StrattonG SunAmerica TCW T. Rowe PriceG Third AvenueG Third Millennium Thompson PlumbG Thornburg TIAA CrefG Timothy Plan TocquevilleG Touchstone Transamerica INDEX Transamerica PremierG TSF FundsG TurnerG Tweedy BrowneG UBS Undiscovered ManagersG U.S. Global InvestorsG Value LineG Van Eck Van WagonerG VanguardG Victory Virtus WasatchG WeitzG Wells FargoGG Wells Real Estate Wenworth, Hauser and ViolichGG Westcore Western Asset ManagementG WestwoodGG WHG FundsG William BlairG Wilshire TargetG Winslow GreenG WintergreenG WisdomG YacktmanG 2012 RBC Capital Markets, LLC. All rights reserved. RBC Correspondent Services and/or RBC Advisor Services, divisions of RBC Capital Markets, LLC, member NYSE/FINRA/SIPC, provide custody services for accounts managed by your Investment Professional. The referenced product or service is available through that relationship. Investors should consider the investment objectives, risks, and charges and expenses of a fund carefully before investing. Prospectuses containing this and other information about the fund are available by contacting your Investment Professional. Please read the prospectus carefully before investing to make sure that the fund is appropriate for your goals and risk tolerance. G Offers only no-load funds GG Offers load and no-load funds GGG Select funds only 2967-CS (11/12)

7 Total Strategy Account, Advisor List of Participating Fund Families Investing in Advisor or Total Strategy Account offers you the ability to invest in a select group of front-end load and no-load mutual funds at NAV. Absolute Advisors Akre Al FrankG Alger AllianceBernstein Allianz Alpha AlpineG Alps FundsGG AltegrisGG AmanaG American BeaconG American CenturyGG American Funds American Growth AMFG AQR FundsG Aquila Funds ArbitrageG ArielG Arrow Artio FundsG ArtisanG AstonG Astor FundsG Auer FundsG Auxier (or Forum Funds)GG Ave MariaG AXA Enterprise Baird Baron FundsG BBHG Blackrock Boston Trust & WaldenG BrandesG BrandywineG BridgewayG BuffaloG Burnham Calamos Caldwell & OrkinG Calvert CambiarG Catalyst Funds GG Causeway FundsG CenturyG ChamplainG ChaseG Cohen & Steers Columbia ConestogaG CRA Qualified Investment FundG Crawford Funds GG Credit SuisseG CullenG CushingGG Davis Dean DelafieldG Delaware Diamond HillGG DirexionG Dividend GrowthG Dodge & CoxGG Domini Social DoubleLine FundsG DreyfusGG DriehausG Dunham FundsGG DWS ScudderGG Eagle Funds Earnest PartnersG Eaton Vance Empiric EpochG FairholmeG FBRG FederatedGG Fidelity Advisor Fifth Third FirsthandG First American First Eagle FMIG Forward Emerald FPA Franklin Templeton Frost FundsGG Gabelli GatewayG GE Geneva FundsG Goldman Sachs GreenspringG Guggenheim GG Guinness AtkinsonG HarborG Harding LoevnerG Hartford Hatteras Fund GG HeartlandG Henderson Global HennessyG Highmark HillmanG HodgesG Hotchkis & Wiley HussmanG ICMG ICONGG IMSG ING Integrity Intrepid Capital FundsG Invesco ISI IVA FundsGG Ivy JAGGG James Advantage JanusGG Jennison Dryden JensenG John Hancock JP Morgan Keeley Kensington KeystoneGG KineticsGG LKCMG LateefGG LaudusG LazardG Legg Mason Partners LeutholdG Liberty Street Funds LoCorr FundGG Longleaf PartnersG Loomis Sayles Lord Abbett MFS Madison MosaicG Mainstay ManagersG Manning & NapierG MarketfieldG MarsicoG Marshall Masters SelectG MatthewsG Metropolitan WestG Miller FundsGG Morgan Stanley MuhlenkampG Munder MutualHedge Fund NakomaG NationwideGG Natixis NavellierGG Neuberger & BermanGG New AlternativesG NicholasG North Track NuveenGG Oak AssociatesG OakmarkG Old Mutual Olstein Oppenheimer Osterweis FundsG Pacific Life (PF) Parnassus Payden FundsGG Pax WorldG Permanent PortfolioG PIMCO Pioneer PNC Funds PMC FundsG PolarisG PolenG PraxisGG Primecap OdysseyG PrincetonGG Principal Prudent BearGG PrudentialGG Putnam Pyxis FundsGG Quaker QuantG RainierG RBC FundsGG Reaves Asset ManagementG REMS FundsGG Rice Hall JamesGG Ridgeworth RiverParkG RiversourceGG RooseveltG RoyceG RS InvestmentsG RussellGG RydexGGG Santa Barbara Funds Saratoga SatuitG SchroderG Schwab FundsG ScoutG Security SEIG Selected AmericanG Seligman Sentinel SierraGG SitG SmartGrowth Snow Capital SouthernSunG SSGA Stadion SteelPathGG Sterling Capital FundsGG Strategic Partners StrattonG SunAmerica TCW T. Rowe PriceG Third AvenueG Third Millennium Thompson PlumbG Thornburg TIAA CrefG Timothy Plan TocquevilleG Touchstone Transamerica INDEX Transamerica PremierG TSF FundsG TurnerG Tweedy BrowneG UBS Undiscovered ManagersG U.S. Global InvestorsG Value LineG Van Eck Van WagonerG VanguardG Victory Virtus WasatchG WeitzG Wells FargoGG Wells Real Estate Wenworth, Hauser and ViolichGG Westcore Western Asset ManagementG WestwoodGG WHG FundsG William BlairG Wilshire TargetG Winslow GreenG WintergreenG WisdomG YacktmanG 2012 RBC Capital Markets, LLC. All rights reserved. RBC Correspondent Services and/or RBC Advisor Services, divisions of RBC Capital Markets, LLC, member NYSE/FINRA/SIPC, provide custody services for accounts managed by your Investment Professional. The referenced product or service is available through that relationship. Investors should consider the investment objectives, risks, and charges and expenses of a fund carefully before investing. Prospectuses containing this and other information about the fund are available by contacting your Investment Professional. Please read the prospectus carefully before investing to make sure that the fund is appropriate for your goals and risk tolerance. G Offers only no-load funds GG Offers load and no-load funds GGG Select funds only 2967-CS (11/12)

8 WILBANKS SECURITIES ADVISORY DIRECT THIRD-PARTY MONEY MANAGEMENT COMPANIES Asset Mark Strategists develop global strategic and tactical asset allocation portfolios using the AssetMark Funds to meet the risk/return profile selected for each client. Brinker Capital Mutual fund or equity portfolio management BTS Asset Management Strategic or tactical portfolio management Clark Capital Management Offers "best of breed" money managers and an institutional portfolio protection strategy with the peace of mind of protection from significant market declines. Clarke Lanzen Skalla Unique combination of asset allocation and risk management Curian Capital Strategic Portfolio Management Loring Ward Provide Investment Management, Business Management and Practice Development Prosperity Capital PCM offers investment opportunities across a wide strategic spectrum. Portfolio Strategies Ten different tactical money management styles from which to choose Saratoga Capital Provides investors with a program in which their assets are professionally managed by an experienced team of money managers selected from among the nation's leading institutional investment advisory firms. S.E.I. Strategic Asset Allocation