Simfund PRO, 7.0:

Distribution Data Enhancements – New Features & Functionality

Simfund 7.0 – New Features & Functionality

Look, feel and functionality of Simfund remains exactly the same both in original views & new views Select, Grouping, Column, etc.

Large majority of existing Simfund data flows seamlessly into new Views Mstar & Lipper categories, performance, ratings, fees, specialty

flags, etc.

Combined with new data from Access Data (AD) New AD data stored under

Choices -- Distributor & Channel Items Distributor & Channel Assets and Flows (AD) Other distributor and channel data points

Simfund PRO, 7.0:

Distribution Data Enhancements

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•New Data

•New Views

•Intuitive Switching

•My Funds Analysis

•Graphs & Reports

Simfund PRO, 7.0:

New Data

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What’s New to Simfund 7.0 Clients

Enhanced Simfund 7.0 Distribution

Coverage• $6+ trillion long-term assets

• 900 Distributors

• 9 Distribution Channels

• Based on data from 140+ fund managers

• 45 ETF managers

• Monthly assets & net flows by channel & distributor

U.S. Long-Term, Open-End Mutual Funds & ETFs Assets by Business Segment

DefinedContributionPlans25%

Other

Direct-Sold10%

ETFs12%

Intermediary-Sold50%

(*including a portion of DC

Plan AUM)

Approx. $10 Trillion Total Industry AUM

This new data is sourced from SI’s partnership with Access Data, a Broadridge company. Simfund now contains data from Mstar (MS), Lipper (LI), ICI, SI and Access Data (AD)This new data is sourced from SI’s partnership with Access Data, a Broadridge company. Simfund now contains data from Mstar (MS), Lipper (LI), ICI, SI and Access Data (AD)

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Key Intermediary-Sold Data Characteristics –Comprehensive Scope to Create Your Distribution Road Map

• Wirehouse

• Independent / Regional

• RIA

• Private Bank

• Trust Companies

• Bank BD

• Dual-Registered RIA

• Retirement Platforms

• Discount

9 Distribution Channels 900 Distributors

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Supporting Product Management & Development, Business Strategy & Distribution Teams with Timely Market Intelligence

Product Q ’s•What are the key demand features

across different channels and distributors?

•Where might my firm’s existing funds fit best w/in the FA community?

•Where might my firm’s skill set translate to success with new products?

Sales Q’s

An integrated product + distribution competitive analytics tool– Promoting the increasing need for product, strategy & distribution teams

to work more closely together

– Refining the importance of “who to bring what message to”

– And adding the “where” to the “what” and “how” of competitive analysis

•What distribution channels and distributors are growing?

•How does my existing distribution footprint fit into this reality?

•Where do we need to strengthen our existing efforts / where do new partnership opportunities exist?

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Simfund PRO, 7.0:

New Views

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New Views in Simfund 7.0: Distributor Analysis & Channel Analysis

Views

The 5 Original Views

Remain Exactly the

Same

The Added Data &

Features Are Housed in the 2 New

Views

The same universe of funds as Fund Analysis View, plus a new Easy Select and filters:

DistributorFirm Type

Distributor Total AssetsDistributor Net FlowsShare Class TypeETF Active-Passive

*My Name (My Fund or My Portfolio) * With My Funds Analysis enabled

Distributor Analysis View

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Bank B-DClearing FirmDiscountIndependent Investment ManagerPrivate BankRetirement PlatformsTrust CoWirehouse

New Grouping Items:Distributor Firm TypeDistributor NameDistributor Parent Name

New Column Items:Distributor Net FlowsDistributor Total Assets*My Distributor Net Flows*My Distributor Total Assets* With My Funds Analysis enabled

Distributor Analysis View

Analyze intermediary-sold mutual fund distribution at specific distributors.Analyze intermediary-sold mutual fund distribution at specific distributors.

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The same universe of funds as Fund Analysis View, plus a new Easy Select and filters:

Detailed ChannelWirehouseRIADually Registered RIAIndependent/RegionalRetirement PlatformsPrivate BankBank B-DDiscountTrust Co

Channel Total Assets Channel Net FlowsShare Class TypeETF Active-Passive

*My Name (My Fund or My Portfolio) * With My Funds Analysis enabled

Channel Analysis View

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New Grouping Items:Channel NameChannel Type

Broker DealersRIABank & TrustDiscountRetirement

New Column Items:Channel Net FlowsChannel Total Assets*My Channel Net Flows*My Channel Total Assets* With My Funds Analysis enabled

Channel Analysis View

Analyze intermediary-sold mutual fund distribution across the various distribution channels.Analyze intermediary-sold mutual fund distribution across the various distribution channels.

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Simfund PRO, 7.0:

Intuitive Switching

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Simfund 7.0 will automatically change the data items between the new views

Intuitive Switching

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Distributor Analysis View Channel Analysis View

Distributor Name Channel Name

Distributor Total Assets Channel Total Assets

Distributor Net Flows Channel Net Flows

My Distributor Total Assets My Channel Total Assets

My Distributor Net Flows My Channel Net Flows

Distributor Parent Name

Distributor Firm Type

Channel Type

Simfund, PRO 7.0:

My Funds Analysis

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My Funds Analysis

Analyze intermediary-sold mutual fund distribution for your funds or company’s share. Analyze specific distributors or across the various distribution channels.Analyze intermediary-sold mutual fund distribution for your funds or company’s share. Analyze specific distributors or across the various distribution channels.

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Distributor Analysis View Channel Analysis View

Grouping Column Select/Filter Grouping Column Select/Filter

•My Fund Name•My Portfolio Name•My Manager Name•My Manager Full Name•My Manager Parent Name

•My Distributor Total Assets•My Distributor Net Flows

•My Fund Name•My Fund Number•My CUSIP Number•My NASDAQ Ticker Symbol•My Portfolio Name•My Portfolio Number•My Manager Name•My Manager Code•My Manager Full Name•My Manager Parent Name

•My Fund Name•My Portfolio Name•My Manager Name•My Manager Full Name•My Manager Parent Name

•My Channel Total Assets•My Channel Net Flows

•My Fund Name•My Fund Number•My CUSIP Number•My NASDAQ Ticker Symbol•My Portfolio Name•My Portfolio Number•My Manager Name•My Manager Code•My Manager Full Name•My Manager Parent Name

Sample Query 1: Analyze My Funds % of Competitor within Morningstar Category by Distributor based on Aug ‘12 assets

Grouping Items:Mstar Category NameDistributor Name

Column Items:SUM (Distributor Total Assets)SUM (My Distributor Total Assets)MY% (My Distributor Total Assets)

Row Filter:Rank (numeric – 1 to N) from 1 to 10 the SUM (Distributor Total Assets)

My Funds Analysis

Quick Tip: Since a “My” data item is NOT included the peer group, use My Distributor Total Assets and MY% of My Distributor Total Assets to calculate Market Share for My Fund Company. Analyze your assets vs. Competitors side by side for a Distributor.

Quick Tip: Since a “My” data item is NOT included the peer group, use My Distributor Total Assets and MY% of My Distributor Total Assets to calculate Market Share for My Fund Company. Analyze your assets vs. Competitors side by side for a Distributor.

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Sample Query 2: Market Share for My Portfolios within Morningstar Category at Distributor based on Aug ‘12 assets

Grouping Items:MStar Category NameDistributor NameMy Portfolio Name

Column Items:SUM (Distributor Total Assets)Share (Distributor Total Assets)

My Funds Analysis

Quick Tip: Since My Portfolio Name is included the peer group, use Share% of Distributor Assets to calculate Market Share for My Fund CompanyQuick Tip: Since My Portfolio Name is included the peer group, use Share% of Distributor Assets to calculate Market Share for My Fund Company

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Simfund PRO, 7.0:

Graphs & Reports

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Distributor Analysis:•Distributor Assets: Pie•My Distributor Assets: Pie•Risk/Ret by MS Ctg, Dist Assets: Bubble•Risk/Ret by MS Ctg,MyDist Assets: Bubble•Risk/Ret by LI Cl, Dist Assets: Bubble•Risk/Ret by LI Cl,MyDist Assets: Bubble•My Distributor Assets: Bar•Distributor Assets: Bar•Distributor Assets: Line•My Distributor Assets: Line•Distributor Assets vs. Market Share•My Distributor Flows: Bar•Distributor Flows: Bar•Distributor Flows: Line•My Distributor Flows: Line•Risk/Ret by MS Ctg, Dist Flows: Bubble•Risk/Ret by MS Ctg, MyDist Flows: Bubble•Risk/Ret by LI Cl, Dist Flows: Bubble•Risk/Ret by LI Cl, MyDist Flows: Bubble

Graphs

Channel Analysis:•Channel Assets: Pie•My Channel Assets: Pie•Risk/Ret by MS Ctg, Chan Assets: Bubble•Risk/Ret by MS Ctg,MyChan Assets: Bubble•Risk/Ret by LI Cl, Chan Assets: Bubble•Risk/Ret by LI Cl,MyChan Assets: Bubble•My Channel Assets: Bar•Channel Assets: Bar•Channel Assets: Line•My Channel Assets: Line•Channel Assets vs. Market Share•My Channel Flows: Bar•Channel Flows: Bar•Channel Flows: Line•My Channel Flows: Line•Risk/Ret by MS Ctg, Chan Flows: Bubble•Risk/Ret by MS Ctg, MyChan Flows: Bubble•Risk/Ret by LI Cl, Chan Flows: Bubble•Risk/Ret by LI Cl, MyChan Flows: Bubble

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