Adam Norris, CFP 4532 Main Street Suite 1234 Raleigh, NC Alexander Family 42 East Lawerence St. Flushing, NY SAMPLE
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1 Adam Norris, CFP 4532 Main Street Suite 1234 Raleigh, NC Alexander Family 42 East Lawerence St. Flushing, NY 10002
2 Portfolio Review Alexander Family 42 East Lawerence St. Flushing, NY Prepared By: Adam Norris, CFP September 30, 2010
3 Market Commentary Financial Market Analysis and Sector Outlook October 2010 The economy is battling significant headwinds including the housing debacle, gridlock in the credit market, a weak dollar, and significant inflationary pressures all of which have investors justifiably on edge. At first glance, these forces would seem to indicate that many overseas markets should continue to outperform the U.S. markets as they have over the past few years. However, the impact of skyrocketing commodities prices is not limited to the U.S. and may undercut global growth projections bringing them in line with the already sobered U.S. forecast. Global Outlook There is no doubt that oil and food prices are driving inflationary pressures. Solid fundamentals, including the lack of significant new oil discoveries and increased food demand in emerging markets, underlie a fraction of the price growth. However, when you consider that the value of all outstanding commodity derivatives has grown from roughly $1 trillion in 2004 to $8 trillion today, there can be little doubt that excess liquidity in the marketplace has led to rampant speculation driving prices beyond their fundamentals. Regardless of the mechanisms behind our current state, there is no doubt that soaring oil and food prices are already a drag on growth worldwide. It is our belief that many overseas markets have not yet apprehended the full impact of these forces and as a result will see their growth rates moderate at an accelerating pace over the near term. U.S. Outlook While the U.S. is by no means immune to the inflationary pressures, we believe U.S. inflation will moderate over the next 6-9 months due to a few key factors: Significant housing inventories will continue to depress home prices reducing household wealth. Business hiring is flat with no meaningful indicators of an upturn in view. Credit availability will remain scarce due to heightened lending standards resulting from the movement toward widespread deleveraging. your portfolio. 3
4 Market Commentary The result is that the U.S. consumer is facing enormous pressures at the pump, for food, and for shelter and as a result discretionary spending is plummeting. Lacking the necessary fundamentals to drive growth in wages or household wealth there is no fuel for any meaningful continued growth of core inflation. WakeForest Wealth Management Sector Outlook Sector US Large Cap Benchmark WakeForest Wealth Management Date Sector View Last Year-to-Date Return Weight Recommendation Changed Consumer Discretionary 7% Underperform 07/15/ Consumer Staples 12% Marketperform 06/15/ Energy 13% Marketperform 10/01/ Financial 15% Marketperform 04/15/ Heath Care 16% Outperform 05/15/ Industrials 9% Underperform 11/01/ Info Tech 17% Outperform 12/01/ Materials 3% Underperform 10/01/ Telecom 5% Marketperform 01/15/ Utilities 3% Marketperform 02/01/ US Large Cap Benchmark your portfolio. 4
5 Portfolio Overview Asset Allocation Category Current Percentage Current Value US Equities 27.7% $731,837 Exchange Traded Funds 9.2% $243,951 International Equities 4.2% $110,871 Domestic Stock Funds 38.2% $1,008,863 Bond Funds 13.3% $350,131 International Stock Funds 6.4% $170,347 Cash and Equivalents 1.0% $26,469 Total Portfolio Value 100.0% $2,642,469 Portfolio Value Vs Cumulative Net Investment $2,000, $ /31/ /31/2005 8/31/2007 6/30/2009 9/30/ /30/2004 9/30/2006 7/31/2008 5/31/2010 Portfolio Value Cumulative Net Investment Components of Change BEGINNING VALUE Net Contributions Capital Appreciation Income Management Fees Other Expenses ENDING VALUE INVESTMENT GAIN Current Quarter $2,127,330 $270,568 $243,984 $6,551 ($5,964) $0 $2,642,469 $244,571 Portfolio Returns Year to Date $1,613,768 $788,065 $233,510 $17,686 ($10,560) $0 $2,642,469 $240,636 Last 3 Years $1,730,462 $812,065 $119,322 $29,648 ($49,028) $0 $2,642,469 $99,941 Last 5 Years $793,795 $1,209,937 $690,748 $31,061 ($83,073) $0 $2,642,469 $638,736 Current Quarter Year to Date Last 3 Years Last 5 Years Since Inception $0 $1,920,081 $789,432 $31,061 ($98,105) $0 $2,642,469 $722,388 Since Inception Your Portfolio 10.5% 9.7% 0.3% 8.9% 8.2% Equity-Mutual Fund Mix Model Exchange - Industrial Avg 5.5% 2.3% (15.5%) (4.6%) (1.4%) 8.6% 0.0% (13.7%) (3.3%) (2.3%) Exchange Index (7.4%) (5.3%) (18.2%) (5.3%) 1.8% International Exchange 2.1% 1.8% (12.9%) (2.8%) 1.4% All returns are TWR, net of fees. Returns for greater than 1 year are annualized. your portfolio. 5
6 Account Performance Summary Time-Weighted Rate of Return Account Description Account Type Inception Date Current Value Current Quarter Year to Date Last 3 Years Last 5 Years Since Inception Alexander, Jenna BROKERAGE 6/30/2004 2,217, % 7.5% (0.1%) 10.5% 11.6% Alexander, Joseph IRA 12/31/ , % 21.5% 2.5% 3.6% 2.4% Alexander Family 12/31/2003 2,642, % 9.7% 0.3% 8.9% 8.2% Equity-Mutual Fund Mix Model 5.5% 2.3% (15.5%) (4.6%) (1.4%) Exchange - Industrial Avg 8.6% 0.0% (13.7%) (3.3%) (2.3%) Exchange Index (7.4%) (5.3%) (18.2%) (5.3%) 1.8% International Exchange 2.1% 1.8% (12.9%) (2.8%) 1.4% All returns are TWR, net of fees. Returns for greater than 1 year are annualized. your portfolio. 6
7 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain Portfolio Total 100.0% $2,384, $2,642, $258, Alexander, Jenna ****3003 BROKERAGE GROWTH US Equities 27.7% $653, $731, $78, Apple Computer Inc. AAPL 1.2% $10, $ $31, $21, Amazon Com Inc AMZN 1.1% $16, $94.29 $29, $12, Boeing Co BA 1.0% $22, $54.69 $26, $3, Bank Of America Corp BAC 1.7% 2, $58, $17.77 $44, ($13,458.99) ConocoPhillips COP 1.1% $31, $46.06 $29, ($2,387.83) Cisco Systems CSCO 1.1% 1, $25, $23.78 $29, $3, CVS Caremark Corp CVS 1.1% $25, $36.10 $28, $3, Dell Inc DELL 1.1% 1, $22, $15.87 $28, $6, Walt Disney Company DIS 1.0% $23, $28.01 $27, $3, General Electric Company GE 1.0% 1, $23, $17.08 $27, $4, Gap Inc GPS 1.1% 1, $23, $21.83 $27, $4, HJ Heinz & Co HNZ 1.1% $28, $41.74 $29, $ Hewlett Packard Compaq HPQ 1.0% $21, $49.10 $25, $4, International Business Machines IBM 1.1% $24, $ $29, $5, Continued on Next Page your portfolio. 7
8 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain Eli Lily & Company LLY 1.1% $29, $34.68 $29, ($260.65) Lockheed Martin LMT 1.1% $27, $81.20 $29, $1, McDonalds Corp MCD 1.1% $28, $57.64 $29, $ Progress Energy Inc PGN 1.1% $30, $39.84 $29, ($870.38) Sprint Nextel Corp. S 1.0% 6, $23, $4.03 $25, $1, Starbucks Corp SBUX 1.4% 1, $27, $20.86 $37, $10, AT & T T 1.1% 1, $29, $28.09 $29, $ Walgreen Co WAG 1.0% $20, $37.84 $25, $4, Wal-Mart Stores Inc WMT 1.1% $29, $51.54 $29, $64.30 Exxon Mobil Corporation XOM 1.1% $28, $69.98 $29, $ Yahoo! Inc YHOO 0.9% 1, $21, $18.70 $24, $3, Exchange Traded Funds 9.2% $236, $243, $7, WisdomTree International Technology Sector F DBT 1.3% 1, $33, $19.04 $35, $1, ProShares Short Oil & Gas ProShares DDG 1.3% $32, $57.20 $34, $1, ishares Dow Jones US Regional Banks Index IAT 1.3% 1, $34, $21.59 $35, $ PowerShares Dynamic Financial Sector PFI 1.3% 1, $33, $17.77 $35, $1, ProShares Short QQQ ProShares PSQ 1.3% $32, $49.26 $34, $1, Continued on Next Page your portfolio. 8
9 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain ProShares Short S&P 500 ProShares SH 1.3% $33, $59.08 $35, $1, SPDR S&P Pharmaceuticals ETF XPH 1.3% $35, $35.57 $35, ($786.10) International Equities 4.2% $109, $110, $1, BP PLC ADR BP 0.8% $21, $54.29 $22, $ Canon Inc CAJ 0.8% $20, $41.59 $21, $1, Honda Motor Co ADR HMC 1.1% $30, $30.61 $30, ($808.22) Toyota Motors ADR TM 1.4% $36, $80.14 $36, ($191.65) Domestic Stock Funds 28.5% $683, $754, $70, Growth Fund Of Amer Cl A AGTHX 3.6% 3, $85, $26.54 $95, $10, Baron Asset Fund BARAX 4.1% 2, $98, $45.36 $107, $9, Prudent Bear BEARX 4.1% 18, $115, $5.80 $107, ($7,342.37) Berwyn Income Fund BERIX 4.1% 8, $106, $12.93 $107, $ Baron Iopportunity BIOPX 4.1% 9, $96, $10.93 $107, $11, Blackrock US Oppty Instl BMCIX 4.0% 3, $89, $33.81 $105, $15, Profunds Basic Materials BMPSX 4.7% 3, $92, $32.21 $122, $30, Continued on Next Page your portfolio. 9
10 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain Bond Funds 9.2% $247, $243, ($3,616.44) Arbitrage Bond Fund ARBFX 1.7% 3, $44, $13.21 $45, $ American Aadvantage High Yield AYBFX 1.7% 5, $51, $8.49 $45, ($6,222.46) Beacon Interntional Bond Fund BEGRX 1.2% 2, $30, $11.58 $31, $ Buffalo High Yield Fund BUFHX 1.7% 4, $44, $10.96 $45, $ Fine Convert Security FCVSX 1.4% 1, $36, $21.65 $37, $ Permanent Portfolio PRPFX 1.5% 1, $39, $39.20 $40, $ International Stock Funds 4.2% $89, $110, $21, Columbia International Large Cap CSRCX 2.0% 3, $45, $15.68 $51, $6, Fidelity Latin America FLATX 2.2% 1, $43, $48.59 $58, $15, Cash and Equivalents 0.8% $22, CASH CASH 0.8% $22, Account Total for **** % $2,042, $2,217, $175, Continued on Next Page your portfolio. 10
11 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain Alexander, Joseph ****2034 IRA RETIREMENT Domestic Stock Funds 9.6% $203, $254, $51, Growth Fund Of Amer Cl A AGTHX 0.6% $13, $26.54 $15, $2, Baron Asset Fund BARAX 0.7% $14, $45.36 $17, $2, Prudent Bear BEARX 0.9% 4, $25, $5.80 $25, ($612.77) Berwyn Income Fund BERIX 0.6% 1, $12, $12.93 $14, $1, Baron Iopportunity BIOPX 0.7% 1, $12, $10.93 $17, $5, Blackrock US Oppty Instl BMCIX 0.7% $11, $33.81 $17, $6, Profunds Basic Materials BMPSX 0.9% $15, $32.21 $23, $8, Cooke & Bieler Mid-Cap CBMDX 0.6% 1, $15, $13.39 $16, $1, Dfa US Small Cap Value DFSVX 0.7% $15, $19.70 $17, $2, Fine Domestic Equity FDEQX 0.9% 1, $23, $20.52 $24, $ Marsico 21st Century MXXIX 0.8% 1, $14, $11.91 $20, $6, Wireless WIREX 0.8% 4, $15, $4.87 $20, $4, Kinetics Paradigm WWNPX 0.9% 1, $13, $20.35 $23, $9, Continued on Next Page your portfolio. 11
12 Portfolio Holdings Description Symbol Weight Quantity Cost Basis Price Current Value Unrealized Gain Bond Funds 4.0% $95, $106, $10, American Aadvantage High Yield AYBFX 0.8% 2, $20, $8.49 $21, $1, Beacon Interntional Bond Fund BEGRX 0.7% 1, $16, $11.58 $17, $1, Buffalo High Yield Fund BUFHX 0.9% 2, $23, $10.96 $25, $1, Eaton Vance MUni EAFHX 0.9% 3, $23, $8.28 $25, $1, Permanent Portfolio PRPFX 0.7% $12, $39.20 $17, $5, International Stock Funds 2.3% $37, $59, $21, Columbia International Large Cap CSRCX 1.0% 1, $22, $15.68 $25, $3, Fidelity Latin America FLATX 1.3% $15, $48.59 $33, $17, Cash and Equivalents 0.2% $4, CASH CASH 0.2% $4, Account Total for **** % $341, $424, $82, your portfolio. 12
13 Disclaimers Report Terms Terms & Disclaimers Beginning/Ending Values The total value of all investments in your portfolio at the beginning and ending of the time period. The value includes cash and money market fund amounts and accrued income. If your custodian(s) does not include accrued income on statements, then the values on this report might not match the account values on your monthly custodial statement(s). Net Contributions The net amount of all capital flows to and from your portfolio during the time period. Capital flows include deposits and withdrawals of cash and receipts and transfers of securities. Capital Appreciation The change in value attributed to the increase in the value of the overall portfolio investments, excluding additions and withdrawals to the portfolio. This change in value typically results from changes in the unit price of your investments, dividends and interest payments. Income The total of all interest and dividend income earned in your portfolio during the time period. Management Fees The total of all management fees paid to your advisor during the time period. Other Expenses The total of all non- management fee expenses incurred by your portfolio during the time period. These expenses could include (but are not limited to) foreign taxes paid, trustee fees, federal withholding expenses, and margin expenses. Brokerage fees and other fees on individual transactions are not included. Investment Gain The total dollar amount gained by your portfolio during the time period. The value is the sum of capital appreciation, income, expenses and any change in the value of accrued income during the time period. Time Weighted (net) The percentage rate of return earned by your portfolio during the time period. The return reflects the aggregate performance of your portfolio s underlying investments due to income received and price changes during the time period. The return is unaffected by decisions to deposit or withdraw cash and securities and is useful to compare against the return of market indexes during the same your portfolio. 13
14 Disclaimers Disclaimers Asset Classifications 2011 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers; (2) may not be copied or distributed; and (3) is not warranted to be accurate, complete or timely. Neither Morningstar nor its content providers are responsible for any damages or losses arising from any use of this information. your portfolio. 14
Adam Norris, CFP 4532 Main Street Suite 1234 Raleigh, NC Alexander Family 42 East Lawerence St. Flushing, NY SAMPLE
Adam Norris, CFP 4532 Main Street Suite 1234 Raleigh, NC 27600 Alexander Family 42 East Lawerence St. Flushing, NY 10002 Portfolio Review Alexander Family 42 East Lawerence St. Flushing, NY 10002 Prepared
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