Building an InnovatETF Business IRA Rollovers For Financial Professional Use Only. Not for Public Distribution

1 Value Total Households % of Total U.S. Wealth Mass Affluent$1 - $99,99982 million8% Emerging Affluent $100,000 - $999, million38% High Net-Worth $1 million and above 3.5 million54% Segments by Investable Assets (excluding 401k assets) Source: GDC Research Advisor’s Asset Gathering Opportunities

For Financial Professional Use Only. Not for Public Distribution 2 Advisor’s Asset Gathering Opportunities Misconception: IRAs don’t bring in substantial assets from the affluent or high net worth. Reality: IRAs represent close to 20% of assets for households with $500,000 to $5 million in investable assets. Source: AdvisorOne “5 Misconceptions on IRA Rollovers Lead Advisors to Bungle Unique Opportunity” July 25, 2011

For Financial Professional Use Only. Not for Public Distribution 3 Characteristics of ETF-Owning Households ETFs Held in IRAs (%) 3 6%8%10% Households Owning ETFs Median Age of head of household Household income 1 $120,000 $130,000$125,000 Household financial assets 2 $350,000 $300,000$500,000 1 Total reported is household income before taxes in Data as-of May Household financial assets include assets in employer-sponsored retirement plans but exclude the household’s primary residence. Data as-of May Investment Company Institute IRA Owners Survey Source: 2010, 2011, 2012 Investment Company Fact Books

For Financial Professional Use Only. Not for Public Distribution 4 Source: 2012 Investment Company Fact Book Characteristics of ETF-Owning Households Households owning IndividualAll U.S. ETFsMutual FundsStocksHouseholds Median Age of head of household Household income 1 $125,000 $80,000$87,500$48,800 Household financial assets 2 $500,000 $200,000$242,000$75,000 Household primary or co-decision maker for saving and investing: Four-year college degree or more Employed (full- or part-time) Household owns: IRA(s) DC retirement plan account(s) Total reported is household income before taxes in Household financial assets include assets in employer-sponsored retirement plans but exclude the household’s primary residence. Data as-of May 2011

For Financial Professional Use Only. Not for Public Distribution Implementing ETFs Types of Exchange Traded Funds Long-Only Equity Long-Only Fixed Income Long-Only Sector Long-Only Real Estate Long-Only Country Specific Long-Only Preferred Equities Long-Only Commodity Trust Long-Only Master Limited Partnership Commodity Index Tracking Commodity Futures Contracts Leveraged 2x, 3x Upside Short / Inverse 1x, 2x, 3x Downside Volatility Index Tracking Currency Actively Managed Micro & Sub-Sector Spread Index

For Financial Professional Use Only. Not for Public Distribution 6 Misconception: Investment options and fees drive consumer decisions. Reality: Convenience and perception of simplicity is often the leading decision factor for consumers who prefer the path of least resistance. Source: AdvisorOne “5 Misconceptions on IRA Rollovers Lead Advisors to Bungle Unique Opportunity” July 25, 2011 Implementing ETFs

For Financial Professional Use Only. Not for Public Distribution GLOBALT Makes It Simple  4 risk-based strategies fully implemented with ETFs  Track record since 2003 with over $500 million in strategy assets as of 12/31/12.  Strategic asset allocation incorporating active portfolio management across all asset classes

For Financial Professional Use Only. Not for Public Distribution 8 1 Advisor reviews GLOBALT’s Risk Tolerance Questionnaire (RTQ) with investor. 2 Based upon the RTQ score, advisor reviews with the investor the quarterly fact sheet to GLOBALT strategy. 3 After account opening, advisor reviews GLOBALT’s quarterly news letter with the investor. GLOBALT Makes It Simple

For Financial Professional Use Only. Not for Public Distribution 9  ETFs are attracting larger investment households  Adoption of ETFs within IRA accounts is growing  ETFs may offer advisors a competitive edge in gathering IRA assets  GLOBALT’s innovatETF Strategies® offer advisors a simple solution and process to gather IRA Rollover assets. In Review Learn More About GLOBALT innovatetf.com or

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