AssetMark is a business partner that provides us with invaluable due diligence and research about the money managers and strategists that we entrust to manage portfolios for our clients. AssetMark is a publicly traded firm on the NYSE under the ticker AMK. AssetMark supports our relationships with our clients through:

• Providing the platform for investable assets
• Offer access to money managers and analysis of indices, peer groups and industry standards
• Reduced fees due to the combined level of business from our group of financial advisors
• Provides data aggregation and reporting capabilities
• Offer a private support services team for a superior client experience

Fidelity Clearing and Custody provides a comprehensive clearing and custody platform, brokerage services and trading capabilities for our client accounts. Fidelity has $3.0 trillion of assets under administration.

Securities in accounts at National Financial Services LLC (NFS), a Fidelity Investments Company, are protected in accordance with the Securities Investor Protection Corporation (“SIPC”) up to $500,000. Excess SIPC coverage is provided by Fidelity for brokerage accounts through Lloyds’s of London, together with other insurers. Total aggregate excess SIPC coverage available NFS’s excess of SIPC policy is $1 billion. There is no per-account dollar limit on coverage of securities, but there is a per-account limit of $1.0 million on coverage of cash.

SIPC and Fidelity’s excess of SIPC policy do not protect against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call 202-371-8300.

We chose investment firms and managers to execute both the long-term strategy and purpose of your investment, as well as any short-term objectives of your strategy. These firms:

• Provide intellectual capital execution based on experience, expertise, peer group and benchmark analysis
• Execute trades based on research, strategy, and analysis of multiple markets
• Provide asset allocation support
• Monitor markets, both equities and fixed income, global and domestic
• Provide commentary
• Execute our investment objectives
• Work closely with your financial advisor, and offer private access to you as an investor
• Are crucial in providing performance and market opportunity based on their valuations, formulas, and trigger mechanisms

As our Broker Dealer, United Planners provides us with world-class services including:

• Overseeing all business operations to assure best practices are followed
• Processing business transactions
• Compliance and licensing to assure we meet or exceed industry rules and regulations
• Monitoring portfolios to help assure proper investment suitability
• Acting as a liaison between financial advisor and regulators such as FINRA and Department of Labor, etc.
• Practice management support
  
  

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