Proprietary and Confidential Firm, Platform and Services Overview January 2015.
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Transcript of Proprietary and Confidential Firm, Platform and Services Overview January 2015.
Proprietary and ConfidentialProprietary and Confidential
Firm, Platform and Services Overview
January 2015
Page 2© 2015 FolioDynamix - Confidential 2
FolioDynamix BackgroundFirm Overview: Award winning provider of investment
management programs and wealth managementplatform solutions to financial serviceorganizations
Markets Served: Brokerage Firms, Banks (Trust & Retail),Large RIAs & RIA Networks, and other Fee-based Managed Account Providers
History: Founded in 2007 via AcquisitionsAcquired by Actua Corp (NASDAQ: ACTA) Nov 2014
Offices: Secaucus, Sacramento, Evansville, and Columbus
Platform Statistics: $727B in AUA, 4.8M Active Accounts and 95.3K+ Advisors & Users live on the platform today$20.8B in AUM, $3.4B with Discretion
Clients: 212 Total -- 92 Direct plus ~120+ Indirect
Page 3© 2015 FolioDynamix - Confidential 3
FolioDynamix Industry Awards2014 Money Management Industry Awards• Advisory Solutions Technology Innovation and Operations Improvement of the Year Award • Powering two clients that won 3 additional awards
Advisory Solutions Sponsor Firm of the Year Emerging Investment Manager Exhibiting Greatest Innovation, Growth and Partnership Advisory Solutions Marketing Program of the Year
2013 Money Management Industry Awards• Advisory Solutions Service Provider of the Year Award 2012 Money Management Industry Awards• Advisory Solutions Technology Innovation of the Year Award
FDx SingleSight Platform release• Powering two clients that won additional awards
Managed Solutions Product of the Year Managed Solutions Service Provider of the Year
Best in Class by Tower Group• Named best in class for accounting and operations by CEB TowerGroup’s Portfolio Management Systems 2014
report.• Named best in class for advisory products by CEB TowerGroup’s Portfolio Management Systems 2012 report.
Page 4© 2015 FolioDynamix - Confidential 4
FolioDynamix Product Bundles• FDx SingleSight – Enterprise Desktop
FDx Propose – Household Proposal Generation & IPS Solution FDx Model – Model Management FDx Manage – Rebalancing & TOM Tools FDx Perform – Household Performance Reporting FDx Research – 3rd Party Manager, Mutual Fund, and ETF Research & Comparison
Tools
• FDx Advisors – Research, Profiling, and Contracting Services• FDx VisX – Mutual Fund, ETF, & Model Allocation Construction• FDx Premier – TAMP Offering• FDx Connect – 3rd Party Manager Access Suite• FDx PrEditor – 3rd Party Manager, Mutual Funds and ETF Profile Development
Tool
Technology
Advisory Services
Page 5© 2015 FolioDynamix - Confidential 5
Stable and Diverse Blue Chip Client BaseRepresentative List of Clients
Selected Client Examples
(Formerly ING North America)
Note: Select clients not shown due to contractual obligations
IBDs Bank Trusts
Regionals
RIAs Other
Page 6© 2015 FolioDynamix - Confidential 6
Enhancing the Advisor DesktopMost Frequently Used Advisor Desktop Modules
Source: CEB TowerGroup 2013 Advisor Desktop Survey
FDx SingleSight Core
Proprietary and ConfidentialProprietary and Confidential
Platform Overview
Page 8© 2015 FolioDynamix - Confidential 8
The Power of the FolioDynamix PlatformSeamlessly on-board new clients and leverage the FolioDynamix unified wealth management technology platform for every stage of the portfolio management lifecycle.
Page 9© 2015 FolioDynamix - Confidential 9
FolioDynamix – A Single Integrated Platform
Integrated platform supporting advisor and home office investment management
• Automated trading across entire book with real-time executions and allocations
Trade model changes, single securities or product swaps
• Trade Supervisor Portal provides pre-trade edit and review & release functionality
• Multi-custodian client base supported on single platform
• Real time allocations allow for positions to be traded more than once a day
• Complex order support including trading options
Differentiators
RIABrokerage Bank Trust
Traditional SMA
Rep Directed
UMA
Commission Brokerage
Supports Multiple Wealth Management ChannelsIn
vest
men
t Pro
gram
Typ
es
Propose Manage & Trade Performance
Shared Platform Components• Portfolio Accounting Database• Sleeve and Household Groupings• Investment Catalog• Investment Models• Asset Allocations & Classifications • Custom Asset Classifications
• Manager Research• Market data and pricing feeds• Alerting • Compliance reporting & workflows• Mobile/iPad Access • User Entitlement Manager
• Client Profiling• IPS Workflow• Asset Allocation• Manager Research• Investment Illustration• Proposal Generation• Model Creation• Support for new
account workflow
• Tax Efficient Rebalancing • Overlay Trading & Recon• Tax Optimization• Drift Reporting• Model Trading• Single-Order Blasting• Discretionary and Non-
discretionary trading• Commission trading
• Household, Account, & Sleeve Reporting
• Online point-to-point reports
• Quarterly & Annual reports
• Composite Reporting• Customization• Fee Billing
MF/ETF Wrap
Page 10© 2015 FolioDynamix - Confidential 10
FDx SingleSight – All-in-One Platform
Page 11© 2015 FolioDynamix - Confidential 11
Quick Search feature allows user to find accounts, households, saved lists, models, advisors, etc. without creating an account set
Accounts and Households open in different tabs to allow user to research accounts without losing “account set”
Recent Activity will show the most recent trade scenarios, proposals, and other actions so the user can quickly pick up where they left off
New Accounts will show accounts that were added to the system that day
Notifications will show open alerts
Recent Screens will screen the most recent account “lists” selected by the user
Cash Flows will show any contributions and withdrawals for the past 15 days and any upcoming withdrawals for the next 30 days (date ranges will be customizable. Display includes impacted accounts by identify accounts that have cash drift and/or insufficient funds
Advisor Portal
Page 12© 2015 FolioDynamix - Confidential 12
Investors Portal• Investors Portal
Creation of a portal for end investors to log in and view Account Info, Reports, and a Document Repository
Built to be stand-alone site or integrated within an existing sponsor’s site
Proprietary and ConfidentialProprietary and Confidential
FDx Advisors Overview
Page 14© 2015 FolioDynamix - Confidential 14
FDx Advisors Extends Your ServicesExpanding your advisory practice at any level
Full-Turnkey Servicing
Asset Allocation
• Product research• Ongoing due diligence• Create access and
approved products• Product Onboarding• Contracting• Fee remittance• ADV• SSAE 16
• VisX UMA, MF & ETF allocations
• Ad-Hoc UMA, SMA, & MF/ETF allocations
• Investment program design
• Ongoing program alignment
• Best-practices
ProductResearch
OverlayManagement
• Model processing• Drift monitoring• Trade management
guidelines setup• Restriction
management• Trade execution• Account reconciliation
Page 15© 2015 FolioDynamix - Confidential 15
FDx Advisors’ Investment SolutionsAs of 1/20/2015
Model Based Managers Separate Account Managers Mutual Funds
Approved Access Approved Access Approved
Large Cap Equity 39 56 22 34 32
Small - Mid Cap Equity 26 29 21 24 44
Taxable Fixed Income 9 21 13 21 37
Non-Taxable Fixed Income2 4 25 16
International Equity 10 17 11 6 16
Blended Strategies Balanced All Cap Equity Global Equity Global Balanced
1146
37
51820
186
525
111114
4788
Specialty Strategies 4 20 1 3 27
Total 146 374 84 140+ 199
Available Strategies 520 224+
60 ETFs on the FDx Advisors ETF Focus List1016+ ETF’s are also available+ is indicated as some contracts contain numerous strategies not reflected in the total
Page 16© 2015 FolioDynamix - Confidential 16
Overview of FDx Advisors’ VisXFDx Advisors’ constructed Model, Mutual Fund and ETF portfolios
made for turnkey accounts of any size
• VisX combines FDxA’s institutional quality manager research and investment consulting services into turn-key investment solutions
Seven risk-based portfolio objectives with multi-asset class allocations • Seek to add value with lower risk over a full market cycle• Tactical allocation exposure without high turnover• Fully transparent products• Research-intensive
Page 17© 2015 FolioDynamix - Confidential 17
The VisX Allocation PortfoliosE
xpec
ted
R
etu
rn
Expected Risk
Conservative10% Equity/Equity Alts, 90% Fixed/Alts/Cash
Income25% Equity/Equity Alts, 75% Fixed/Alts/Cash
Moderate40% Equity/Equity Alts, 60% Fixed/Alts/Cash
Balanced50% Equity/Equity Alts, 50% Fixed/Alts/Cash
Moderate Growth60% Equity/Equity Alts, 40% Fixed/Alts/Cash
Growth75% Equity/Equity Alts, 25% Fixed/Alts/Cash
Aggressive Growth85% Equity/Equity Alts, 15% Fixed/Alts/Cash
Page 18© 2015 FolioDynamix - Confidential 18
The VisX Programs• Four programs available
VisX ETF – ($10K) VisX Mutual Fund – ($50K) VisX Blend– ($500K) VisX UMA – ($1M)
• Product types are based on program minimums
56 Model Portfolios• Mutual Funds• ETFs• Models/UMAs• Combo all three
product types• Taxable or Tax Sensitive
56 VisX Portfolios
UMA’s
Mutual
Funds
ETF’s
7 Taxable Objectives
7 Tax Sensitive
Objectives
Page 19© 2015 FolioDynamix - Confidential 19
DisclosuresPast performance is not indicative of future results. The investment manager performance contained in this report is based on the performance reported by the manager. The information is believed to be accurate, but has not been independently verified. The investment manager performance results are shown gross of fees and do not reflect the deduction of investment advisory fees and any other expenses incurred in the management of the investment advisory account. Your actual performance will vary. Investment advisory fees are described in Part II of the advisor's form ADV. Actual performance results will be reduced by fees including, but not limited to, investment management fees and other costs such as custodial, reporting, and evaluation services. The net compounded impact of the deduction of such fees over time will be affected by the amount of fees, the time period, and investment performance. For example, an account with a 1% annualized investment management fee, deducted quarterly, with 5 year annualized performance of 10% before fees, will have a net annualized performance of 8.93%. Compounding will similarly affect the account's performance on a cumulative basis. Specific calculations of net of fees performance for a given fee structure and gross of fees performance can be provided upon request.
The following pertains to any data used in this report reflecting MSCI as the source. Neither MSCI nor any other party involved in or related to compiling, computing, or creating the MSCI data makes any express or implied warranties or representations with respect to such data (or the results to be obtained by the use thereof), and all such parties hereby expressly disclaim all warranties of originality, accuracy, completeness, merchantability, or fitness for a particular purpose with respect to any of such data. Without limiting any of the foregoing, in no event shall MSCI, any of its affiliates or any third party involved in or related to compiling, computing or creating the data have any liability for any direct, indirect, special, punitive, consequential or any other damages (including lost profits) even if notified of the possibility of such damages. No further distribution or dissemination of the MSCI data is permitted without MSCI’s express written consent.
Proprietary and ConfidentialProprietary and Confidential
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