Proprietary and Confidential Firm, Platform and Services Overview January 2015.

Proprietary and ConfidentialProprietary and Confidential

Firm, Platform and Services Overview

January 2015

© 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


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.


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


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

http://www.bremer.com/home/


Enhancing the Advisor DesktopMost Frequently Used Advisor Desktop Modules

Source: CEB TowerGroup 2013 Advisor Desktop Survey

FDx SingleSight Core


Platform Overview


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.


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


FDx SingleSight – All-in-One Platform


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


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


FDx Advisors Overview


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


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


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


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


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


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.


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Proprietary and Confidential Firm, Platform and Services Overview January 2015.

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