Asset Marks Due Diligence For financial advisor use

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Asset. Mark’s Due Diligence For financial advisor use with clients.

Asset. Mark’s Due Diligence For financial advisor use with clients.

When you work with Asset. Mark, you’re backed by a team of due diligence

When you work with Asset. Mark, you’re backed by a team of due diligence professionals with a disciplined approach to investment research For financial advisor use with clients. 2

Investment Strategies Group Zoë Brunson, CFA SVP, Investment Strategies Joined the team in 2007

Investment Strategies Group Zoë Brunson, CFA SVP, Investment Strategies Joined the team in 2007 Lauren Kang Brian Roxas Director of Due Diligence Joined the team in 2009 Analyst Joined the team in 2016 Eli Kahwaty, CFA Stephanie Ting Due Diligence Leader Joined the team in 2012 Investment Performance Analyst Joined the team in 2014 Richard Noma, CFA, CAIA Senior Analyst Joined the team in 2010 Our team of experienced due diligence professionals has knowledge, contacts and experience that goes beyond a database For financial advisor use with clients. 3

Our core beliefs are the foundation of the due diligence process People Experienced, tenured

Our core beliefs are the foundation of the due diligence process People Experienced, tenured teams in stable organizations Philosophy Clearly defined, , tried and tested Process Consistent, disciplined and applied in multiple market environments Portfolio Construction Risk management is a key component Performance Proof statement of philosophy, process and portfolio construction For financial advisor use with clients. 4

Our investment offering is backed by a rigorous Due Diligence process 201 8 Search/Annual

Our investment offering is backed by a rigorous Due Diligence process 201 8 Search/Annual Quarterly Monthly/Daily • Candidate screen • Due diligence questionnaire • Onsite visit • Fundamental review & report • Review guidelines • Recommendation • Investment manager commentary • Conference call • Performance attribution review • Qualitative evaluation • Presentation to Investment Committee • Review performance & attribution • Review asset allocation changes For financial advisor use with clients. 5

Due Diligence: the Search We look for investment managers who offer innovative solutions and

Due Diligence: the Search We look for investment managers who offer innovative solutions and appreciate advisors’ needs for transparent and disciplined processes We evaluate the candidates for characteristics that will complement our existing strategists For financial advisor use with clients. 6

Due Diligence starts with a search We build our search universe from multiple sources,

Due Diligence starts with a search We build our search universe from multiple sources, looking for approaches and capabilities that fit into the way we construct portfolios We narrow down the universe to a pool of finalists for comprehensive evaluation and visits to the strategist’s office For financial advisor use with clients. 7

… and ends with a committee review The team debates the candidates and presents

… and ends with a committee review The team debates the candidates and presents final recommendations to the Investment Committee. Our solutions fit into, and complement, our investment lineup, providing advisors with a range of solutions in each category, and diverse approaches to investing It’s like a background check for your portfolio For financial advisor use with clients. 8

Due Diligence Quarterly monitoring We continually monitor our investment providers and check in each

Due Diligence Quarterly monitoring We continually monitor our investment providers and check in each quarter With a focus on… 1. Organization & process 2. Portfolio positioning 3. Performance For financial advisor use with clients. 9

Due Diligence Quarterly monitoring We assign a status based on qualitative scoring and assessment

Due Diligence Quarterly monitoring We assign a status based on qualitative scoring and assessment Satisfactory Watch Review Terminate We publish the results of our in-depth reviews and updates to help advisors understand the strategy’s strengths, issues and expected performance patterns For financial advisor use with clients. 10

The Ins and Outs of adding and removing strategists from our platform In Out

The Ins and Outs of adding and removing strategists from our platform In Out Value-added strategies that complement the offerings on our platform Strategies that exhibit unexpected or unexplained performance Experienced, tenured teams Key personnel turnover Repeatable investment process Shift in investment process or philosophy Performance in-line with the stated investment and risk management philosophy Unexplainable performance that prompts questions about the investment philosophy and process For financial advisor use with clients. 11

Since 1996, our due diligence process has added more than 35 portfolio strategists and

Since 1996, our due diligence process has added more than 35 portfolio strategists and removed more than 15 Portfolio Strategist Added Litman Gregory Asset Mgmt 1996 Savos Portfolio Strategist Added Terminated Disciplined Investment Advisors 1996 1998 2001 Value Line 1996 1999 New Frontier Advisors 2004 Analytic TSA Global Asset Mgmt 1996 2002 JP Morgan Asset Mgmt 2008 Meeder Asset Mgmt 1996 2006 State Street Global Advisors 2008 Standard & Poor's 1996 2008 City National Rochdale 2009 Goldman Sachs Asset Mgmt 1996 2013 Eaton Vance 2010 UBS Global Asset Mgmt 1998 2009 Altegris 2011 CRA Rogers Casey 1999 2002 Black. Rock 2012 Morgan Stanley Dean Witter 1999 2004 Double. Line 2012 Meridian 2002 2004 Salient (fka Forward) 2012 Breen Financial Corporation 2002 2009 Beaumont Capital Mgmt 2014 Pan. Agora Asset Mgmt 2002 2009 William Blair 2014 Wilshire Associates 2004 2008 Windham Capital Mgmt 2014 Avatar, LLC 2005 2014 Aris 2015 Stadion 2009 2015 Alpha. Simplex Group 2015 F-Squared 2012 2015 Clark Capital Mgmt 2015 Callan 2008 2016 Julex Capital Mgmt 2015 Model Capital Mgmt 2015 West. End Advisors 2016 American Funds by Capital Group 2016 Double. Line is a registered trademark of Double. Line Capital LP. For financial advisor use with clients. 12

Important Information This presentation is intended for information purposes only, and is not a

Important Information This presentation is intended for information purposes only, and is not a recommendation or solicitation for any investment or investment strategy. Please consult with a financial advisor regarding your particular situation before making any investment decision. Asset. Mark, Inc. is an investment adviser registered with the Securities and Exchange Commission. © 2018 Asset. Mark, Inc. All rights reserved. 13736 l C 32196 l 6/2018 | EXP 12/31/19 For financial advisor use with clients. 13