ProEquities AMP: Advisor Overview

Power Your Advisory Practice

ProEquities AMPSM is a fee-based, advisory platform that enables you to operate an efficient and effective wealth management firm.

For Advisor Use Only. Not For Distribution.

Use ProEquities AMPSM to Accelerate Your Advisory Business Whether you are managing client assets directly or prefer to employ third-party managers, AMPSM is designed to help grow your assets under management.

Powered by Envestnet, this integrated technology offers specialized tools for fund research, portfolio construction, monitoring, rebalancing, and real-time performance tracking.

ADVISE

INVEST

MANAGE

REPORT

Research-Based Recommendations

Access to Vetted Solutions

Automation and Operational Efficiencies

Real-Time Performance Data

For Advisor Use Only. Not For Distribution.

ADVISE Build customized investment advisory solutions that are researchdriven, based on strategic asset allocations established by the ProEquities Investment Committee.

Asset Allocation Advisors can use the Investment Committee’s strategic asset allocations as a framework to build custom or model portfolios. This allocation framework is updated annually and includes a full spectrum of traditional and alternative asset classes.

Financial Planning and Advice Create a holistic strategy to help clients achieve their financial goals, and streamline workflows by leveraging one of the integrated financial planning tools. Hourly and flat fee arrangements are supported.

Portfolio Construction and Ongoing Analysis Review hypothetical changes, make projections, and track performance.

Proposal Generation and Presentation Create proposals for clients and prospects with a comprehensive analysis of their portfolio. AMP’s robust platform provides a variety of portfolio construction methods, programs, and products.

PESolutions Expertise A specialized team of in-house consultants helps develop optimal solutions for wealth management, asset protection, retirement plans, and more, delivering tailored strategies for each individual client.

The PESolutions team uses their expertise to customize AMPSM, making it an essential power source for your business.

For Advisor Use Only. Not For Distribution.

INVEST Access hundreds of investment vehicles and trade on your client’s behalf.

Create your own portfolios or use recommendations from vetted thirdparty managers.

Due Diligence Process to Evaluate Available Investments and Funds The ProEquities Due Diligence Committee continuously reviews our slate of managers to provide access to some of the best institutional and boutique money managers. Extensive reviews are conducted several times throughout the year, based on performance, risk, turnover, holdings, etc. Reference guides are released frequently with the status of available managers and funds.

UNIVERSE OF ASSET MANAGERS

Quantitative Analysis Additional criteria assessed, some of which include: • Alpha • Manager Tenure • Performance • r-Squared • Standard Deviation

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Screened Managers Initial review, including some of these criteria: • Style consistency • Information ratio • Rate of return

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▼ Qualitative Analysis Manager interviews to understand philosophy and address concerns to determine approval status.

▼ LEADING ASSET MANAGERS ON AMPSM

For Advisor Use Only. Not For Distribution.

Investment Vehicles Advisor’s Choice SMA Gain access to a diverse set of separately managed account (SMA) managers offering a wide range of investment categories. Each SMA is managed to a specific investment objective and designed to maintain style consistency. In an SMA, clients own the individual securities and can take advantage of tax loss harvesting.

Advisor’s Choice Strategist Advisor’s Choice Strategist are diversified portfolios designed to meet clients’ risk, time horizon, and investment objectives. As a primary rule, strategists use ETFs and/or mutual funds.

Our Investment Committee provides a full range of internally managed portfolios with active and passive strategies. Select Opportunity Portfolios and CorETF deliver strategic, tactical, and dynamic solutions for your client’s portfolios.

PreTrade/ProTrade & PreTradePlus/ProTradePlus PreTrade/ProTrade and PreTradePlus/ProTradePlus are advisor-managed accounts with access to mutual funds, ETFs, stocks, and bonds. Advisors are responsible for due diligence, asset allocation, trading, and rebalancing.

PreTrade programs are non-discretionary, and ProTrade are discretionary. Plus accounts are structured similarly, but have a lower platform fee with a flat transaction charge.

Unified Managed Accounts With the ability to combine strategies, various managers, and potentially advisor-managed sleeves into a single account, the UMA program streamlines administrative functions, provides access to money managers at reduced minimums, and gives the flexibility to make manager changes globally.

For Advisor Use Only. Not For Distribution.

MANAGE Take advantage of account monitoring, rebalancing tools, and archived action plans. This technology creates operational efficiencies, so you and your staff have more time to spend with your clients.

Administration and Billing Operational efficiencies include new account setup, automated billing, and other maintenance activities.

Additionally, household accounts may be linked for discounted platform fees. All accounts are billed monthly in advance, and platform fees are blended.

Investment Guidelines To help manage accounts and remain in good standing, guidelines have been established for trade count, risk variance, sustained cash, and annual reviews. Notifications should be monitored for any required adjustments.

Portfolio Management and Trading Bulk trading allows adjustments across multiple client accounts, automating oversight and supporting business scale. Maintain an optimal asset allocation by taking advantage of tax loss harvesting and referencing the FundDiagnosticSM to evaluate performance of mutual fund and ETF holdings, including C-share accounts.

For Advisor Use Only. Not For Distribution.

REPORT Provide personalized, branded performance tracking for your clients at your annual review and as needed. Investment data is reconciled daily, allowing you to manage timely communications that add value.

Customizable Presentations In addition to customized dashboards for performance monitoring, advisors can create tailored client reports. Build deliverables to meet your client’s expectations, making them as high level or as granular as needed. In addition, clients have access to the client portal for real-time investment tracking.

For Advisor Use Only. Not For Distribution.

Integrations Streamline Data and Enhance Functionality Advisors who use AMPSM have a comprehensive, fully integrated experience. A number of industry leaders collaborate with Envestnet to set the standard for the breadth and depth of available data, integration of workflows, trading, and automation.

CRM Solutions

Portfolio Analysis

Financial Planning

Office Tools

For Advisor Use Only. Not For Distribution.

In-House Consultants for Advisory, Planning & Product Our dedicated PESolutions crew is your...

• Go-to investment research and due diligence team • One-stop for advisory, planning, and product questions • AMPSM geek squad • Annuity consultant • Retirement plan consultant Who We Are 12 Subject matter experts deliver tailored solutions Our designations include: CFAs, CIMAs, CPFAs, CRPCs, CFPs, MBAs • 160 Years combined of industry experience • 65+ Years combined spent practicing as financial advisors • •

Advisory Resources Available To You AMPSM things-to-know announcements and how-to guides • Best Interest List with leading asset managers • Personalized AMPSM Dashboard to power your advisory business • Portfolio Solutions with active and passive strategies • Quarterly Spotlight market commentary • SMA and Strategist quick reference guides • Weekly Digest newsletter to communicate ongoing updates and enhancements •

Email PESolutions@proequities.com, and we’ll match your question with the right expert.

For Advisor Use Only. Not For Distribution.

Power Your Wealth Management Practice With ProEquities AMPSM At ProEquities, we provide diverse product offerings that empower independent financial advisors with the resources, support, and confidence necessary to help clients achieve financial wellness. Our advisory lineup gives advisors the tools to help each client build a strong financial foundation.

For questions about ProEquities AMPSM or to speak with an in-house consultant about transitioning your business to advisory, email PESolutions@proequities.com.

ProEquities.com | A Registered Investment Advisor | Member FINRA & SIPC For Advisor Use Only. Not For Distribution.