Firm, Platform and
Services Overview
January 2015
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FolioDynamix Background
Firm Overview:
Award winning provider of investment
management programs and wealth management
platform solutions to financial service
organizations
Markets Served:
Brokerage Firms, Banks (Trust & Retail),
Large RIAs & RIA Networks, and other
Fee-based Managed Account Providers
History:
Founded in 2007 via Acquisitions
Acquired 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
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FolioDynamix Industry Awards
2014 Money Management Industry Awards
• Advisory Solutions Technology Innovation and Operations Improvement of the Year Award
• Powering two clients that won 3 additional awards
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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
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•
FDx SingleSight Platform release
Powering two clients that won additional awards
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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.
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FolioDynamix Product Bundles
Technology
Advisory
Services
• 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
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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
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Stable and Diverse Blue Chip Client Base
Representative List of Clients
Selected Client Examples
IBDs
Bank Trusts
(Formerly ING North America)
Regionals
RIAs
Other
Note: Select clients not shown due to contractual obligations
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Enhancing the Advisor Desktop
Most Frequently Used Advisor Desktop Modules
FDx SingleSight Core
Source: CEB TowerGroup 2013 Advisor Desktop Survey
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Platform Overview
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The Power of the FolioDynamix Platform
Seamlessly on-board new clients and leverage the FolioDynamix unified wealth
management technology platform for every stage of the portfolio management
lifecycle.
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Supports Multiple Wealth Management Channels
FolioDynamix – A Single Integrated Platform
Investment Program Types
Brokerage
Traditional
SMA
UMA
MF/ETF
Wrap
Rep
Directed
Commission
Brokerage
RIA
Propose
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Client Profiling
IPS Workflow
Asset Allocation
Manager Research
Investment Illustration
Proposal Generation
Model Creation
Support for new
account workflow
Bank Trust
Manage & Trade
Performance
Tax Efficient Rebalancing
Overlay Trading & Recon
Tax Optimization
Drift Reporting
Model Trading
Single-Order Blasting
Discretionary and Nondiscretionary trading
• Commission trading
• Household, Account,
& Sleeve Reporting
• Online point-to-point
reports
• Quarterly & Annual
reports
• Composite Reporting
• Customization
• Fee Billing
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Shared Platform Components
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Portfolio Accounting Database
Sleeve and Household Groupings
Investment Catalog
Investment Models
Asset Allocations & Classifications
Custom Asset Classifications
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Manager Research
Market data and pricing feeds
Alerting
Compliance reporting & workflows
Mobile/iPad Access
User Entitlement Manager
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Differentiators
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
Integrated platform supporting advisor and home office investment management
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FDx SingleSight – All-in-One Platform
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Advisor Portal
Accounts and Households open in different
tabs to allow user to research accounts
without losing “account set”
Quick Search feature allows user to find
accounts, households, saved lists, models,
advisors, etc. without creating an 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
Notifications will show open alerts
New Accounts will show accounts that were
added to the system that day
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
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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
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FDx Advisors Overview
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FDx Advisors Extends Your Services
Expanding your advisory practice at any level
Product
Research
• Product research
• Ongoing due diligence
• Create access and
approved products
• Product Onboarding
• Contracting
• Fee remittance
• ADV
• SSAE 16
Asset
Allocation
• VisX UMA, MF & ETF
allocations
• Ad-Hoc UMA, SMA, &
MF/ETF allocations
• Investment program
design
• Ongoing program
alignment
• Best-practices
Overlay
Management
• Model processing
• Drift monitoring
• Trade management
guidelines setup
• Restriction
management
• Trade execution
• Account reconciliation
Full-Turnkey Servicing
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FDx Advisors’ Investment Solutions
As 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
2
4
25
16
Non-Taxable Fixed Income
International Equity
10
17
11
6
16
Blended Strategies
Balanced
All Cap Equity
Global Equity
Global Balanced
1
14
6
37
5
18
20
186
5
2
5
11
11
1
4
4
7
8
8
Specialty Strategies
Total
Available Strategies
4
20
1
3
27
146
374
84
140+
199
520
224+
+ is indicated as some contracts contain numerous strategies not reflected in the total
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60 ETFs on the
FDx Advisors ETF
Focus List
1016+ ETF’s are
also available
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Overview of FDx Advisors’ VisX
FDx 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
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The VisX Allocation Portfolios
Aggressive Growth
85% Equity/Equity Alts, 15% Fixed/Alts/Cash
Growth
75% Equity/Equity Alts, 25% Fixed/Alts/Cash
Moderate Growth
Expected
Return
60% Equity/Equity Alts, 40% Fixed/Alts/Cash
Balanced
50% Equity/Equity Alts, 50% Fixed/Alts/Cash
Moderate
40% Equity/Equity Alts, 60% Fixed/Alts/Cash
Income
25% Equity/Equity Alts, 75% Fixed/Alts/Cash
Conservative
10% Equity/Equity Alts, 90% Fixed/Alts/Cash
Expected Risk
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The VisX Programs
• Four programs available
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56 Model Portfolios
VisX ETF – ($10K)
VisX Mutual Fund – ($50K)
VisX Blend– ($500K)
VisX UMA – ($1M)
• Product types are based on program minimums
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Mutual Funds
ETFs
Models/UMAs
Combo all three
product types
• Taxable or Tax Sensitive
ETF’s
Mutual
Funds
UMA’s
7 Taxable
Objectives
7 Tax
Sensitive
Objectives
56 VisX Portfolios
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Disclosures
Past 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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