What educational areas are you most interested in? (select all that apply)

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Tiffany Dickerson
5 years ago
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1 How familiar are you with this firm and its products? We Use Their Products: Very Familiar: VANGUARD % POWERSHARES % FIRST TRUST- 29.9% GUGGENHEIM % DORSEY WRIGHT % PRINCIPAL % DIREXION - 5.9% VANGUARD % POWERSHARES % DORSEY WRIGHT % PRINCIPAL % GUGGENHEIM % FIRST TRUST % DIREXION - 4.1% Familiar: Not Familiar: PRINCIPAL % DIREXION % GUGGENHEIM % FIRST TRUST % DORSEY WRIGHT % POWERSHARES % VANGUARD % DIREXION % DORSEY WRIGHT % FIRST TRUST % PRINCIPAL % GUGGGENHEIM % POWERSHARES - 8.3% VANGUARD - 4.7% What educational areas are you most interested in? (select all that apply) Using active and passive investments % Allocating to Smart Beta ETFs % Defining and understanding Smart Beta investing % Smart Beta Index Construction % Trading ETFs % Passive ETF investing %

2 What percentage of your client portfolios are allocated to ETFs? 26 to 50% % 6 to 10% % More than 50% % 11-25% % 1 to 5% % 0% - 8.6% What percentage of your client portfolios are in smart beta ETFs? 0% % 1 to 5% % 6 to 10% % 11 to 25% - 8.0% 26 to 50% - 4.3% More than 50% - 4.3% Do you plan on increasing/decreasing/or holding the same amount of smart beta ETFs in the next 12 months? Increasing % Holding the same amount % Decreasing - 0.6%

3 Are your clients asking for smart beta ETFs? No % Yes - 1.8% If your clients are asking for smart beta, what demographic are smart beta ETFs most popular with? % % % % % Would you recommend smart beta products to your clients? Yes % No %

4 Do you believe smart beta consistently outperforms active investors? Unsure % Yes % No - 8.7% What are the biggest benefits of smart beta ETFs? (select all that apply) Defined methodology % Cost compared to active management % Targeted exposure to niche strategies % Transparency % Other - 4.9% Other Responses: I m looking for stable returns Protection from buying overpriced securities Targeted Exposure Period Protect the downside in bear market Not sure of added benefits. What are your biggest concerns regarding smart beta ETFs? (select all that apply) Too complex % Not enough liquidity % Other % Too expensive % Too risky - 8.8% Selected Other Responses: My Knowledge lack of use The Unknown issue that could arise Transparency of holdings within Reduces human value prop of advisor Untested in a chronic market event Possible overlap with unadvised hot $ in ETFs Will be index like returns with higher fees Client education Strategy consistency Don t understand how they can blow up

5 Are you receiving enough education about smart beta ETFs? Yes % No % Do you think your clients receive enough education about smart beta ETFs? No % Yes % Which firm s software do you rely on for portfolio construction? (Select all that apply.) Morningstar % Other % Bloomberg % Dorsey Wright % Envestnet/Tamarac - 7.0% Factset/Markit - 3.8% Selected Other Responses: Zephyr UBS Edward Jones Orion Riskalyze Morgan Stanley FI 360 First Trust Kwanti evestment Alliance Wells Fargo FINVIZ Proprietary Personal programs Internal MPI Vanguard Proprietary APL SEI Raymond James

6 How long do you expect to hold your smart beta strategies to achieve your investment objectives? 1 to 3 years % 3 to 5 years % 5 to 10 years % Less than one year % 10 years or longer % For strategic uses of smart beta strategies, which vehicle type do you prefer? ETF % Separate account % Mutual fund % Manage internally - 6.4% Collective investment trust (CIT) - 0.6% Derivatives - 0% Where do you get your education and research about smart beta strategies? Webcasts % Trade publications % Investment managers % Index providers % Financial media % Industry events % Other Responses: IMCA events Dorsey Wright White Papers Originality & Math Online industry forums and groups % Peers % Consultants- 7.7% Other - 6.4%

7 Who is involved in the evaluation of smart beta strategies for your firm? Investment Manager % Chief Investment Officer % Other % Consultant - 5.8% Index Provider - 5.2% Head of Equity - 3.9% Selected Other Responses: President Compliance Investment Policy Committee Investment Advisor Research Group personnel Research FA who is the Portfolio Manager Portfolio Manager Head of Risk - 3.2% Trustees - 0.6%

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