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Potential Benefits of a UMA Solution
Significantly lower operational overhead, trading risk;
reduced number of brokerage accounts
• Manages individual account-level trading, rebalancing, reconciliation, proxy
vote support, corporate actions, and manager billing administration in a
UMA format
• Manager wash sales, security, and industry restrictions
Streamlined client paperwork & contracting
• Removes the need to engage in direct negotiations with managers
• Automated paperwork production and single point of contact to manage
relationship with managers
Easier, more efficient manager transitions
• Single contract SMA product access
• Eliminate the need for repapering or additional client signatures
• Transition and tax management services materially lower transition costs
Potential for meaningful manager cost savings
• Dedicated manager negotiating team applied to over 1,700 third-party
SMA products
• Model-traded and APL-traded
Manager research library and differentiated solutions
• Access to objective opinions and reviews on over 4,000 manager products
(reduce research costs)
• Large case consulting and design
• Tax and impact overlay
• Credit and insurance exchange
Automated proposal generation tools
• Advisor-branded output
• Risk assessment, Monte-Carlo simulations, current portfolio analysis and
comparison
