Providing the Research You Need to Make Smart Business Decisions. Intelligence amplified

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Providing the Research You Need to Make Smart Business Decisions For more than 30 years, Strategic Insight has been at the forefront of thorough, unbiased mutual fund industry research and business

1 Providing the Research You Need to Make Smart Business Decisions For more than 30 years, Strategic Insight has been at the forefront of thorough, unbiased mutual fund industry research and business intelligence, providing clients with the research, data, and analytical support they need to identify product and distribution opportunities and make smart business decisions. SI Research delivers a combination of published research, online webcasts, in-person presentations, and on-demand consulting to empower clients to track developments and seize opportunities in the ever-changing global fund business. SI Research covers the US, Canada, Australia, and EMEA countries. Intelligence amplified

2 Core Research Strategic Insight s data-driven Core Research provides ongoing insights and integration with our data platform, Simfund, to support daily workflows and keep firms on the pulse of the industry. SI s Core Research offering spans four practice areas: product strategy/development, retail distribution, retirement, and institutional asset management. In-Depth Research Strategic Insight s fact-driven In-Depth Research provides timely analysis and commentary across our many practice areas, shedding light on a range of important industry themes. SI s In-Depth Research offering focuses on six practice areas: household wealth, product strategy/ development, retail distribution, retirement, institutional asset management, and college savings. 2

3 2018 Core Research Agenda PRODUCT STRATEGY & DEVELOPMENT SI FlowWatch Series The SI FlowWatch Series offers a monthly snapshot from across the SI proprietary databases to deliver clients a concise and detailed update on the most recent month s fund activity. The reports provide robust datasets curated by SI analysts to allow asset managers a quick view of fund flows and asset-levels across fund categories and fund managers. Monthly highlights are also written by SI analysts to convey the most critical developments in the industry. The reports are selectively linked to Simfund to provide clients a means for deeper analysis in terms of dashboards and fund firm profiles. The six reports cover areas of SI expertise and include: Mutual Funds FlowWatch ETF FlowWatch Global Mutual Funds FlowWatch DC FlowWatch Lifecycle FlowWatch MONTHLY Monthly Cross-Border Snapshot Mutual Fund Insights On a quarterly basis, Mutual Fund Insights combines quantitative encapsulation of the prior quarter with research features on topics of high relevancy to fund providers. Typical articles cover areas such as product development, trends in pricing, regulatory impact, liquid alternatives, investment performance, and the subadvisory market. A review of new fund filings is included in every issue. This executive-level publication strives to not only provide a concise update of the previous quarter, but to also raise important questions and observations about the fund industry. The publication keeps clients up-to-date on SI analysts best thinking and is supported through dialogue with clients. New Products in Global Markets A quarterly publication focusing on new fund launches in Local Asia, Local Europe and Cross-border markets. Easily accessible updates on both local and crossborder fund activity for each country in Asia and Europe that are of interest to fund managers. MONTHLY Global Fund Insights A quarterly publication highlighting the latest product and distribution trends in the European, Cross-border and Asian fund industry. Each issues is driven by thematic trends driving the global industry, and supported with data and insights into critical trends that shape a global vision for clients. 3

4 2018 Core Research Agenda (Continued) Mutual Fund Fee Benchmarking Service This annual study is a valuable reference guide for benchmarking fund fees and costs, as well as asset management firm profitability (specifically of the fund adviser). The report breaks into three distinct sections: Fee and expense benchmarks for actively managed open-end mutual funds aggregated into 62 Morningstar Categories or SI Objectives Contractual management fee breakpoint schedule summary statistics for actively managed open-end mutual funds aggregated into 62 Morningstar Categories A summary of the financial results of 20 money managers with publicly-held equity The report is a valuable tool to prepare for board presentations and for educating fund boards on the norms of the industry. RETAIL DISTRIBUTION Distribution Insights Mutual Funds and ETFs This quarterly series delivers timely and informative commentaries on key issues within the intermediarysold fund distribution marketplace. It draws from SI and Broadridge data to inform clients on the competitive distribution landscape and give clients a concise reference on the flows and asset levels within the major distribution channels. The report is linked with Simfund to allow clients a fluid experience of conducting analysis based on the framework within the publication. 4

5 2018 Core Research Calendar PRACTICE AREA REPORT NAME COVERAGE FREQUENCY SI FlowWatch Series U.S. MONTHLY Monthly Cross-Border Snapshot Global MONTHLY Global Fund Insights Global Mutual Funds Insights U.S. New Products in Global Markets Global Mutual Fund Fee Benchmarking Service U.S. Retail Distribution Distribution Insights Mutual Funds and ETFs U.S. 5

6 2018 In-Depth Research Agenda HOUSEHOLD WEALTH Asset Management Industry Market Sizing Report This report frames the entire investment products market place in a way for asset managers to identify opportunities, and to benchmark expectations and progress. The household balance sheet of the U.S. consumer serves as the foundation for analyzing growth trends and projections for products and channels. The report sets out flows and asset projections at 5- and 10-year intervals. Investments covered in 2018 will include mutual funds (active and passive), ETFs, SMAs, subadvisory mandates, and variable annuities. Perceptive organizations employ household balance sheet and market sizing research as an essential planning tool to establish priorities and monitor performance. The analysis relies on data from across the SI organization as well as surveys and third-party and public information. A critical client deliverable for the research is the live presentation (web or onsite) of the findings. SEPTEMBER $20,000 RETAIL DISTRIBUTION State of Retail Distribution This new research coverage unlocks multiple SI data sources to provide the definitive research on trends and dynamics of asset management distribution through intermediated channels. The analysis revolves around investment platform design and trends, along with insights on how asset managers build relationships with distributors and advisers. The report will be released in quarterly issues, designed around different aspects of distribution strategy. The first quarter issue will be dedicated to organizational strategy, the second quarter will be dedicated to platform developments, the third quarter will focus on advisor trends, and the fourth quarter will be dedicated to an outlook on distributors and channels. State of Retail Distribution Continued... SI is uniquely positioned to provide a holistic and multi-perspective approach to distribution research. Data comes from across the SI ecosystem and third-party sources to provide evidence-based analysis on adviser behavior and practice evolution, broker-dealer platform growth, product mix and asset manager distribution organization developments. This research provides essential strategic guidance for asset management distribution organizations with a focus on intermediated distribution, as well as a competitive assessment for broker-dealers, clearing firms and turn-key asset management providers (TAMPs). A critical client deliverable for the research is the live presentation (web or onsite) of the findings. FEBRUARY, MAY, AUGUST, NOVEMBER Fund Sales Benchmarking Report $15,000 This annual report provides valuable clarity and benchmarking of share class pricing and distribution channel trends within the adviser-sold space, along with 10+ years of historical trending data. It is based on a proprietary SI survey of mutual fund managers, who last year reported over $1 trillion of gross fund sales. This analysis sheds insight on pertinent developments such as zero/zero share class adoption and pricing demands within fee-based platforms, as well as current and future impact of regulation and other market forces to share class use. It also provides benchmarking of sales growth across key advisersold distribution channels, including breakouts of fee-based platform and the defined contribution investment-only sales. JULY $7,500** * Single edition pricing available **Discount for survey participants 6

7 2018 In-Depth Research Agenda (Continued) Analysis of External Fund Distribution Costs This annual report, in its 6th year, provides unique data around payment streams between fund managers and distributors (sub-ta, revenue sharing, etc.) to assist in benchmarking of such fees, as well as analysis of distribution profitability metrics to help drive efficient distribution strategy. The report includes unique data collected from a proprietary SI survey of mutual fund managers, with results segmented across each of the Wirehouse, Independent/ Regional BD and Fund Supermarket channels. For funds Boards of Directors, this study can also serve as an important part of the intermediary oversight process by providing valuable framework and benchmarking of current industry payment realities. NOVEMBER RETIREMENT Retirement Market Sizing Report $15,000** The U.S. retirement market is a tremendous source of assets for asset managers, but the market is in constant flux from competitive, regulatory and demographic developments. This new annual report provides an indispensable planning and benchmarking tool for asset managers by providing detailed defined contribution market sizing and five-year forecasts by plan type, plan size, and vehicle structure. INSTITUTIONAL ASSET MANAGEMENT Subadvisory Insights The Subadvisory Insights reports series provides a quarterly dive into the subadvisory landscape including research coverage of the most important trends and developments in the subadvised mutual fund and variable annuity markets. This report provides the most current view into successful strategies of participating in the subadvisory market within the context of the total business of asset managers and its composition and growth trends across lines of business. Each report features multiple articles to help subadvisers and sponsors to identify opportunities, best practices, and regulatory impact. Each report also maintains a data section drawn from SI proprietary subadvisory database, which provides a convenient reference for keeping firms abreast of changes in the industry by delivering quantitative updates and commentary on mandate changes, asset growth, and new product launches. APRIL, JUNE, AUGUST, NOVEMBER $7,500* SI is uniquely positioned to deliver the most in-depth look at the retirement market by drawing from the vast pools of data, insights, and expertise in the SI ecosystem including: Simfund, MarketMetrics, BrightScope and PLANSPONSOR and PLANADVISER Magazines. Asset managers and providers will have access to a view of not only the present but the future of the DC market. AUGUST $15,000 * Single edition pricing available **Discount for survey participants 7

8 2018 In-Depth Research Agenda (Continued) COLLEGE SAVINGS 529 College Savings 529 Industry Analysis This annual report is the only dedicated 529 source in the marketplace that explains how to get more families to save with your 529 plan from the perspective of product, marketing and distribution. The survey utilizes a choice model method that maps the target market into three categories: 529 users, non-529 college savers and nonsavers. This approach provides firms with strategies on how to convert non-college savers to college savers, college savers to 529 users and 529 users to 529 power users. The foundation of the report is a survey of over 1,000 U.S. households with children under the age of 18. JUNE $9, College Savings 529 Distribution Analysis This annual report provides detailed 529 adoption figures among advisers and trends in how advisers solve for college savings. It is based on the only proprietary and dedicated survey of advisers in the marketplace, the report explains how to get more advisers to help clients with college financial planning and use your 529 plan from the perspective of product, marketing and distribution. DECEMBER $9,000 * Single edition pricing available **Discount for survey participants 8

9 2018 In-Depth Research Calendar PRACTICE AREA REPORT NAME DATE PRICE (USD) FREQUENCY Retail Distribution State of Retail Distribution (Publishes Quarterly) FEB $15,000 Institutional Asset Management Subadvisory Insights (Publishes Quarterly) APR $7,500* College Savings 529 College Savings 529 Industry Analysis JUN $9,000 Retail Distribution Fund Sales Benchmarking Report JUL $7,500** Retirement Retirement Market Sizing Report AUG $15,000 Household Wealth Asset Management Industry Market Sizing SEP $20,000 Retail Distribution Analysis of External Fund Distribution Costs NOV $15,000** College Savings 529 College Savings 529 Distribution Analysis DEC $9,000 * Single edition pricing available **Discount for survey participants 9

Asset Management Industry Market Sizing:

Asset Management Industry Market Sizing: 2017 2022 December 2017 Asset Management Industry Market Sizing: 2017 2022 Analysis of External Fund Distribution Costs U.S. For questions or further information