DST Vision Reference Guide for New Client List & Household Functionality January 2009

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DST Vision Reference Guide for New Client List & Household Functionality

February 3, 2009

DST Systems, Inc. 333 West 11th Street Kansas City, MO 64105–1594 www.dstsystems.com

Prepared in U.S.

Contents

Browsers and Screen Settings................................................................................................. 4 New Navigation Elements ...................................................................................................... 5 Hover-over Functionality........................................................................................................ 5 Assets Page ............................................................................................................................. 6 Recent Transactions Page ....................................................................................................... 7 Client List Page....................................................................................................................... 8 Client Accounts Page.............................................................................................................. 9 Households Page................................................................................................................... 10 Household Details Page ........................................................................................................ 11

Vision continues to provide all the features you’ve used in the past. The purpose of the reference guide is to help you get the most out of the new client list and household functionality in the re-designed Vision Web site, and to locate the new home of some of its features. If you have any questions about Vision, please call Vision Support at 1-800-435-4112.

Browsers and Screen Settings Vision is developed for viewing through Microsoft’s Internet Explorer. We recommend version 6.5 or higher. The site may not work properly with other browsers such as Opera, Firefox, Netscape or Safari. You can verify your version of Internet Explorer from the Help menu, About Internet Explorer option.

The Vision site is designed for 1024 by 768 screen resolution. Consult the Display Properties settings on your computer to verify or change this setting. Settings higher than 1024 x 768 may result in pages that appear to have excess white space in the margins. Lower resolution settings will introduce scroll bars.

With Microsoft Internet Explorer 7 you can make Web pages easier to read by magnifying the page (zooming in). If you zoom in, everything on the Web page will be magnified (including text, images, and controls). Zooming will change the magnification of the Web site, regardless of the Web site's formatting. Refer to Microsoft’s Web site for more information on how to magnify Web pages. http://www.microsoft.com/enable/training/windowsvista/webzoom.aspx For Vision users utilizing screen resolution settings higher than 1024 by 768, the page zoom control may provide a better viewing experience.

1024 x 768

New Navigation Elements

Down navigation arrow – mouse over to view a drop-down list of additional options.

Up navigation arrow – click to view a pop-up window with additional information or functions.

Information icon – click to view on screen help.

Hover-over Functionality Many pages of the site use ‘hover-over’ functionality to provide additional details about content displayed there. Moving your mouse over these areas presents this content without having to click or open additional pages or windows.

Assets Page

• Consolidated Tax/ID Search. The search feature has been enhanced to allow searching by name in addition to Tax ID/SSN and BIN. This feature is now found on the Clients page.

• Portfolios. Pre-existing portfolios and households have been preserved and are now accessible as Custom Households/Custom Portfolios via the Client Households tab after selecting Clients.

• Pie chart. Hover over the pie chart to see percent of assets held at each management company. The percentage change from previous business day can be viewed by moving your (hover-over) mouse over the list of management company names.

• FINRA Breakpoint Search Tool has moved to the Assets & Prices page.

Recent Transactions Page

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1. Recent Transactions navigation preference. Your initial visit to the Clients tab each day begins with a pass-through of the Recent Transactions page, which is set to automatically display when transactions have occurred that were not previously viewed. If you prefer to bypass Recent Transactions on your initial visit to the Clients tab, uncheck the box to de-select the preference.

2. Recent Transactions default sort. Recent transactions has been enhanced to group by client name. Additional sorts include amount, transaction type and confirmation date..

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Client List Page

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1. Definition of a client. A client is all accounts associated to a single Tax ID. Dealer controlled (matrix level 3) accounts are separately grouped by brokerage identification number (BIN).

• New clients. A client who opens their first new account today will automatically be available through Client List the next business day. You may still access the accounts for these clients via the Management Company section on the Assets page.

• New accounts. When a new account is added to an existing client, it is immediately available for viewing on the Client Accounts page.

2. Name Unavailable. ‘Name Unavailable’ will display when accounts are designated as dealer controlled (matrix level 3), or when Vision has no access to a name. You can establish or change a client name by using the Rename feature on the Client Accounts page.

• Recommended Renaming approach. A recommended approach for establishing names for ‘Name Unavailable’ records in Vision: click on the Name Unavailable link and rename those Tax ID’s with the desired name. Renaming affects the display in Vision only and does not alter the account registration. By renaming all ‘Name Unavailable’ records, your entire book of business can be searched by name; in addition, these client records will qualify for systematic Householding.

3. Maximum accounts associated with a Client. TaxIDs with more than 180 accounts will appear on the Client List, but you can’t access the underlying accounts from this list. You may still access the accounts for these Tax IDs via the Management Company section on the Assets page.

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Client Accounts Page

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1. Default Client Names. Vision leverages data available from product companies to create and maintain client names. You can override the default name by using the Rename feature. This becomes the permanent client name within Vision. The client name is one of the keys used by Vision to build Households, so ‘Name Unavailable’ records cannot be householded.

2. Renaming a client. Use the Rename feature to establish names for navigation in Vision – it affects Vision display only and does not alter the account registration.

3. Client Addresses. Addresses are provided by the product companies. Addresses are viewable in Vision, but cannot be modified. This must be done through direct contact with the product companies. Contact Vision Support for assistance in facilitating address changes.

4. Account Type groupings. (Retirement, Non-Retirement, Education, Healthcare, Variable Annuity, and Other) are determined by the product company. If an account appears with the incorrect account type grouping, please contact Vision Support for assistance in facilitating account type updates (800-435-4112).

5. Zero-balance accounts. Vision suppresses zero-balance accounts. A control has been provided if you would like to view these accounts. This control is only active if there are zero-balance accounts to view. When active, the box is white and allows editing. Inactive boxes are denoted with grey shading.

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Households Page

1. Client Households. Client Households are systematically built by matching at least two clients with the same last name and address. Clients with ‘Name Unavailable’ are excluded from Client Households. ‘Name Unavailable’ displays when accounts are designated as dealer controlled (matrix level 3), or when Vision has no access to a name. You can establish or change a client name by using the Rename feature on the Client Accounts page.

• Influencing the Householding process. Households are systematically built, but can be manually influenced by renaming a client. For example, a husband and wife with different last names at the same address will not be systematically householded until you change the last name of one or both of these clients so they match.

2. Viewing Addresses. Hover-over the household name to view the address for the Household. This is helpful when you have more than one household with the same last name.

3. Portfolios and Households. All pre-existing portfolios and households are still accessible using the ‘Custom Portfolios’ and ‘Custom Households’ links located above the search bar.

4. Custom Portfolios. In the event that you require customized account groupings, (top ten list, custom watch list, portfolios comprised of trust or custodial accounts) utilize Custom Portfolios. This feature is accessed from the Administrative drop-down list (in the upper right-hand corner), select Custom Portfolios link.

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Household Details Page

1. Systematic Households. Vision builds households daily by matching at least two clients with the same last name and address. Therefore, maintenance to investor registrations that update client names and addresses will impact your household list display. This includes updates you apply through the client Rename feature.

2. Zero-balance accounts. Vision suppresses zero-balance accounts. A control has been provided if you would like to view these accounts. This control is only active if there are zero-balance accounts to view. When active, the box is white and allows editing. Inactive boxes are denoted with grey shading.

3. Household Reports. The Household Detail page shows a comprehensive view of a client household and provides six options for grouping and summarizing assets associated with a household. Use the chart below as a guide to viewing or printing your desired report:

Report Description "View" Selection "Total By" Selection

Clients within each account type *** Clients Account Type (default)

Accounts within each product company Assets Investment Description

Accounts within each account type Assets Account Type

Accounts sorted by value Assets Account Value

Account types within each client Account Type Client (default)

Accounts by product company within each client Investment Description Client (default)

***Default Page presentation • The “Total By” setting designates summary and account grouping totals. • The “View” setting designates subgroups and subtotals.

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