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The One-Stop, Multi-Media Financial Marketing Solution www.fa-mag.com

DIGITAL / PRINT / EVENTSMedia Kit 2017

Table of ContentsReach In The Marketplace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

FA Magazine Audience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Editorial Excellence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Print Display Rates and Specs . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Editorial Calendar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Custom Publishing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Content Marketing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Native and Sponsored Content . . . . . . . . . . . . . . . . . . . . . . 9

High-Impact Print Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Run of Site Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

High-Impact Digital Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

eNewsletters, FA News . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Topic-Specific FA News Editions . . . . . . . . . . . . . . . . . . . . 13

Run of Channel Sponsorships . . . . . . . . . . . . . . . . . . . . . . . . . 14

E-Directs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Whitepapers and Lead Generation . . . . . . . . . . . . . . . . . . . . 16

Webcasts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Conferences & Workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

FA —REACH IN THE MARKETPLACE

Offers MorePrintFinancial Advisor magazine reaches 108,000* independent broker-dealer-affiliated advisors and registered investment advisors (RIAs), and offers readers unparalleled ideas and strategies to help them better invest for their clients and manage their practices.

DigitalFA-MAG.COM is the leading source for breaking news and research about the financial advisory industry.

FA NEWS, the electronic newsletter of FA magazine, is the essential resource for breaking news and events that directly affect financial advisors and the companies providing products and services to the advisor market.

Conferences & WebcastsCONFERENCES: Financial Advisor magazine hosts a variety of one- and two-day conferences that focus on Retirement Planning, Liquid and Traditional Alternative Investments and Strategies, Women in Wealth Management, Smart Beta Strategies and Impact Investing.

WEBCASTS: FA webcasts give you the chance to be recognized as an industry leader, educator and information provider. Every event includes a robust promotional campaign designed to attract the highest number of attendees.

1

Former First Lady, Laura W. Bush, speaking at FA’s Invest In Women 2016 conference in Dallas.

K N O W L E D G E F O R T H E S O P H I S T I C A T E D A D V I S O R

S e p t e m b e r 2 0 1 5 w w w.f a - m a g . c o m

HIGHFLYING

Beacon Pointe Advisors Is

Acquiring Smaller RIAs In Its Quest

To Build A National Brand.

A New Retirement Reality4% Rule Very Risky, Researchers Say

Older Parents, Younger Kids Saving For Retirement Vs. Education

Millionaire IntelligenceWealth Is A Way Of Thinking

Left to right: Garth Flint, Matt Cooper, Shannon Eusey

* December 2016 BPA Brand Report

Print

Competitive Landscape—Print Edition

FA—INFLUENTIAL AUDIENCE

2

Independent Financial Planners/Advisors/RIAs 80.4%

Full Service Securities Firm 9.7%

Insurance/Accounting/Bank Advisors 8.9%

Other Types of Professionals Allied to the Field 1%

FA Delivers To A Clearly Defined And Targeted Audience �+�+�+1+ATotal Print

Circulation:

108,000*

BY DIRECT REQUEST

*December 2016 BPA Brand Reports, Financial Advisor (TQ = 108,000), Financial Planning (TQ = 115,100; 87,100 Print + 28,000 Digital), Investment Advisor

(TQ=115,500; 80,667 Print + 34,833 Digital). **June 2016 BPA Report, Wealth Management (TQ=99,896; 68,116 Print + 31,780 Digital), and Research (TQ = 60,000; 50,000 Print + 10,000 Digital), ceased July 2016.***ABC June 2016

87,100*

108,000*

80,667*

Bi-monthly 68,116**

61,231***

50,000*

Financial Advisor

Financial Planning

Investment Advisor

Wealth Management

Investment News

Research

* December 2016 BPA Brand Report, Total Qualified= 108,000

In a recent study, Financial Advisor magazine was measured against 30 other print publications. It’s leading among its competitors and comes in second in the overall ranking under The Wall Street Journal. The Financial Advisor Media Outlook and Usage Study, conducted by Erdos & Morgan, provides unique insights into the thought process and preferences of financial advisors in the professional investment community.

55.9%

Financial Advisor

49.9%

Financial Planning

40.1%

Investment Advisor

32.3%

Investment News

14.3%

Research18.4%

On Wall Street25.7%

Wealth Management/

Rep.

22.2%

The Journal of Financial

Planning

% Of Financial Advisors Who Read In The Past 6 Months, 2016:

FA Is Ranked The Most Widely Read Trade Publication For The Fourth Consecutive Year


D e c e m b e r 2 0 1 5 w w w.f a - m a g . c o m

DOCTOR'SORDERS

Eight Eclectic Titles From A Banner YearMurray: Advisors Will Find The Enlightening

Seven Critical ConversationsBachrach: Skills For Engaging With Clients

Broker-Dealer TechnologySome B-Ds Strive To Make Advisors' Lives Easier

Carolyn McClanahan, an M.D. and CFP, steers clients and advisors through the

intersection of wealth and health.

Mutual Funds 82%

Bonds/Bond Funds 71%

Equities 67%

Life Insurance 65%

529 Plans/College Saving Products 63%

ETFs 63%

Annuities 60%

Fixed Income Products 59%

Long-Term Care Insurance 52%

REITs/Real Estate 48%

Defined Contribution Plans (401(k), 403b, 457 Plans) 40%

Alternative Investments 36%

Separately Managed Accounts 36%

Target Date Funds 27%

Master Limited Partnerships (MLPs) 26%

Socially Responsible Investing 19%

Charitable Giving 18%

Products FA Readers Personally Recommended To ClientsOver Past 12 Months


Source: Signet Research 2016 Subscriber Study

3

92% have referred or discussed an article with someone in a company by passing along a tear sheet, a photocopy or an actual issue.*

45% bought products or services advertised or requested additional information from a company, sales representative or distributor.**

40% visited an advertiser’s website.**

29% recommended/specified products advertised.**

*Source: Signet Research 2016 Subscriber Study **Source: Signet Research Ad Awareness Study, June 2016

FA Readers Regularly Respond To Advertising And Editorial ContentActions taken during the past year as a result of advertisements and/or articles in FA.

FA LinkedIn has the largest growing community of advisors!

Readers Are Experienced Advisors With Established Practices


4

148Average Number Of Clients Readers Personally Manage

$112.4 million Average Client Assets Personally Managed

$1.8 millionAverage Value Of Client Accounts Readers Personally Manage

FA Subscribers Control Over $12.3 Trillion Asset Readers Personally Manage In Client Assets

FA Subscribers Invested Over $1.9 Trillion Asset Readers Personally Invested For Clients

Source: Signet Research 2016 Subscriber Study

Compensation StructureFee Advisors 74%

Fee-Based 56% Fee-Only 18%

Commission 11%

Salary 10%

Other 5% �+++5+ASource: Signet Research 2016 Subscriber Study

Tenure as Planner/Advisor10 years or more 86.3%

5 to 10 years 10.3%

Less than 5 years 3.4%

Average 23.5 years �+ +2+AAverage Years as a Planner/Advisor

23.5 Years


More Choices, More Room For Mistakes

What’s This Advisor’s Name Doing On A Race Car?

Advisor Ric Edelman Provides Advice

SOCIAL SECURITY:

A Planning Paradox

CONFERENCE SUPPLEMENT INSIDE: 7th Annual Inside Alternatives

New rules and future unknowns make Social Security planning a moving target.

74% Fee Advisors

FA — EDITORIAL EXCELLENCE

5

MissionFinancial Advisor provides readers with sophisticated planning and investment strategies to help them better invest for their affluent clients. Our editorial team goes in-depth to offer investment ideas and techniques advisors can use to address their clients’ financial goals. FA also challenges traditional financial planning wisdom by introducing readers to new approaches.

Unparalleled ContentEditorial excellence is essential for any media vehicle. Accordingly, FA brings together a prominent team of editors and contributing writers to provide the most compelling publication for the top decision-makers in the financial advisory field. At FA, we have assembled an all-star list of editorial voices within the financial marketplace.

Editorial TopicsAlternative Investments / Annuities / College Planning / ETF Strategies Fixed Income / Impact and Sustainable Investing / Insurance & Risk Management / Mutual Fund Review / Real Estate / Retirement Planning 401(K) / Separately Managed Accounts / Technology Solutions Wealth Management

Columnists and WritersMitch Anthony / Bill Bachrach / Marla Brill / Joel Bruckenstein Caren Chesler / Ron DeLegge / Roy Diliberto / Ric Edelman Harold Evensky / Mark Hurley / Dan Jamieson / Deena Katz Michelle Knight / Ted Knutson / Tom Kostigen / David Lawrence Dan Moisand / Nick Murray / Philip Palaveev / James Picerno Russ Alan Prince / Eric L. Reiner / Don Trone / Richard Wagner

J u l y 2 0 1 5 w w w.f a - m a g . c o m


Social Security Means-TestingChristie’s Plan Is Unfair To Savers, Advisor Says

Act Two For Middle-Class MillionairesThey Are Prospering, But Sober

Trimming The SailsLTC Options Grow Despite Fewer Traditional Carriers

RIA2015

SURVEY & RANKING

10 Young Advisors To Watch

These young advisors are learning the ropes differently and thus changing the rules of planning.

Prepare For The BearPrep Portfolios For Possible Downturn

DOL And 401(k) PlansWill The New Rule Work For Advisors?

Growing PainsLiquid Alts Funds Make Progress


Rianka Dorsainvil President, YGC

EditorsEVAN SIMONOFF, Editor-in-Chief and Editorial Director, Financial Advisor and Private Wealth magazines

Evan Simonoff is editorial director of Financial Advisor and Private Wealth magazines and is a founding partner of Charter Financial Publishing Network (CFPN). He has spent more than 25 years as an editor and reporter covering the financial services industry. Simonoff is a widely recognized expert on personal finance and investments.

DOROTHY HINCHCLIFF, Executive Editor, Financial Advisor magazine

Dorothy Hinchcliff is executive editor of Financial Advisor magazine and editor of its website, www.fa-mag.com. Hinchcliff also is director of FA’s Invest In Women conference. She has been a financial journalist for more than 25 years.

FA — OPPORTUNITY

FOUR-COLOR 1X 3X 6X 12X

Full Page $15,664 $15,165 $14,444 $13,733

2/3 Page 13,839 13,458 12,853 12,131

1/2 Page 11,909 11,527 10,805 9,978

1/3 Page 10,094 9,872 9,267 8,652

Spread 29,180 28,353 26,973 25,478

COVER RATES

Cover 2 (Inside Front) $22,507 $21,287 $20,078

Cover 3 (Inside Back) 21,287 20,078 19,197

Cover 4 (Back Cover) 23,716 22,507 21,287

RATE QUESTIONS? Call Dawn Zarcaro at 732-450-8866, ext. 22 or e-mail: [email protected]

AD MATERIAL QUESTIONS? Call Aimee Melli at 732-450-8866, ext. 15 or e-mail: [email protected]

SEND AD MATERIALS TO: Financial Advisor, Production Department, 499 Broad Street, Suite 120, Shrewsbury, NJ 07702

Covers and Full Pages

Trim 8V" x 10Y"

Bleed 8W" x 11V"

Live Area 7X" x 10W"

Spreads

Trim 16N" x 10Y"

Bleed 16K" x 11V"

Live Area 15O" x 10W"

Fractional Ad Sizes

2/3 Horz. 7" x 6"

2/3 Vert. 4K" x 9O"

1/2 Horz. 7" x 4K"

1/2 Vert. 4K" x 7"

1/3 Sq. 4K" x 4K"

1/3 Horz. 7" x 3"

1/3 Vert. 2N" x 9O"

AD SIZES DIGITAL FILE SPECIFICATIONS FOR PRINT

MediaE-mail (maximum file size 5 MB), CD/DVD Rom or FTP

Preferred format: PDF

indicated otherwise.

" beyond the trim. Keep all text and images within the live area (1/4" in from trim).

Total ink density should not exceed 280%.

ProofsAll color ads must include a SWOP standard color proof. All b/w ads must include a composite laser.

FTP Instructions Go to www.fa-mag.com and click on the “FTP Site” at the bottom of the page. User name: ads_fa; Password: fauploads. Please e-mail Aimee Melli ([email protected]) with the file name and issue date once the ad has been uploaded to the site.

FOR SPECS VISIT: www.fa-mag.com/fa-print-ad-specs

FA 2017 Display Rates

6

For pricing of high impact and unique units such as false cover tips, gatefolds and sponsored content, please contact your sales rep.

Bleed – add 10%. Preferred or special positions – add 10%. A short rate will be applied to any advertiser who does not fulfill contracted frequency. All rates listed above are gross.

FA 2017 Editorial Calendar

FA — EDITORIAL EXCELLENCE

IN EVERY ISSUE: Retirement Planning, Client Relations, ETFs, Technology, Wealth Management, Investing, Estate Planning, Practice Management

MAIL DATE

MATERIALSDUE

INSERTIONDUE

CONTENT MARKETING

DUECONTENT

MARKETINGEDITORIAL FEATURESBONUS CONFERENCE

DISTRIBUTION

Jan

Feb

Mar

Apr

May

Jul

Aug

Sep

Oct

Nov

Dec

Conference Supplement


Broker-Dealer Ranking & Profiles

Special Section


Planning

Morningstar ETF Conference

NAPFA Fall National

IMPACT

Nov 22 Nov 29 Dec 7 Dec 30

International Dec 23 Dec 30 Jan 5 Jan 30 Investing

College Planning Jan 23 Jan 30 Feb 3 Feb 28 Real Estate

Broker-Dealer Feb 21 Feb 28 Mar 7 Mar 31 Trusts

Women In Wealth Mar 23 Mar 30 Apr 5 Apr 28

Management

Annuities Apr 21 Apr 28 May 5 May 31

FinTech/Robo May 23 May 30 Jun 6 Jun 30 Advisor

Broker-Dealer Jun 23 Jun 30 Jul 6 Jul 28 Recruiting Impact Investing Jul 24 Jul 31 Aug 4 Aug 28

Alternatives Aug 23 Aug 30 Sep 6 Sep 29

Fixed-Income Sep 22 Sep 29 Oct 5 Oct 30

Charitable Oct 23 Oct 30 Nov 3 Nov 30 Giving

WEBSITE ADVERTISING AWARENESS STUDY

Jun PRINT ADVERTISING AWARENESS STUDY

WEBSITE ADVERTISING AWARENESS STUDY

PRINT ADVERTISING AWARENESS STUDY

Special Section Content Marketing Opportunity Annual Rankings Conferences Exclusively Produced By Financial Advisor

7



Subject to change

FA — OPPORTUNITY

Sponsored Content/ AdvertorialsWhether you have contributed copy available or need support putting your message together, FA can assist in helping you deliver your message effectively to our readers.

Roundtable Interview/Q&AFA will work with you to create an edited Roundtable Q&A with key members of your organization. This is a chance to connect with advisors in your own words, reinforce your messaging and make sure your voice is heard. Clients have the opportunity to edit the Q&A, and will have approval of the final piece before publication.

8

Custom Publishing

EACH FEATURE INCLUDES: A 300-word manager commentary & portrait

A 100-word company description & logo

Print & digital components

MARCH 2016 | FINANCIAL ADVISOR MAGAZINE | 3938 | FINANCIAL ADVISOR MAGAZINE | MARCH 2016 WWW.FA-MAG.COM

ATTRACTING WOMEN TO THE financial advisory profession re-mains a huge challenge, but those who’ve found their calling here are determined to tackle it. They’re leading initiatives that are part of

broader efforts to attract, train and retain advisors who bear a strong resemblance to clients.

Chances are great those clients will be female. Women, thanks partly to superior longevity, are ex-pected to control two-thirds of the nation’s wealth by 2030. Nine in 10 women will, at some point in their lifetime, be the sole financial decision-makers for their households. And about 70% of women leave their advisor within a year of being widowed.

Recent research from State Street Global Advisors shows that 55% of women between ages 25 and 34 prefer working with female advisors. It also finds

that women using female advisors are more confident in their advisor’s investing skills, and more likely to say their advisor has their best interest in mind and at heart.

But female clients who prefer working with female advisors may have a hard time finding one. The data on gender composi-tion varies widely, but all surveys concur the industry remains dominated by males at a time when professions like medicine and law are almost evenly split between women and men.

According to the latest data from analytics firm Cerulli As-sociates, women represent just 14% of the total advisor and broker head count although about 28% of rookie advisors are female. The percentage of CFP-certified professionals who are women has stayed flat at 23% for at least a decade. The Bureau of Labor Statistics recently found that 35.5% of personal finan-cial advisors are female.

“It’s going to be tough for the industry to stay on a forward foot if we don’t evolve,” says Brie Williams, head of practice management for State Street Global Advisors.

Seasoned advisors are helping women follow this career path. By Jerilyn Klein Bier

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I began my career in the industry at a small financial planning firm in South Carolina and in 1984 moved to Nebraska to help start Securities America. I’m pleased with how far women have come in the industry, but there is so much more we can do to empower women to excel.

Broker-dealers and advisor offices should be working closely with colleges in their area to identify female students interested in a financial services career. Internships, scholarships and mentorships provide valuable experience and support for young women. At Securities America, we’ve invested in all three. The industry needs to showcase successful women in the business, so younger women can see and believe women do in fact succeed in financial services.

Nurturing and encouraging young women to excel in financial services is the long-term goal. In the near-term, we can attract more women to the industry by promoting it as a second, third or even fourth career. Many of our top women

advisors at Securities America had suc-cessful careers in teaching, nursing or counseling or had owned a different type of small business. Skills learned in those professions translate perfectly to work-

ing with clients to create financial plans and achieve their goals.

For women already in the industry, we can help build practices that work for them and their families. Securities America hosts a Super Women’s Summit as part of our annual conference, and we’re part of the Ladenburg Institute of Women and

Finance, which hosts quarterly webinars and an annual conference for women advisors. Last year, Securities America launched womenadvisorsconnect.com, an online community where women

advisors from across the industry can learn and collaborate. The site also features inspirational stories from successful women advisors sharing how they achieved their success.

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Show Women They Can Succeed in Financial ServicesBy Janine Wertheim President, Securities America Advisors | Senior Vice President & Chief Marketing Officer, Securities America Inc.

A VIEW FROM AN EXPERT

“ Broker-dealers and advisor offices should be working closely with colleges in their area to identify female students interested in a financial services career.”

— Janine Wertheim

WOMEN IN WEALTH MANAGEMENT

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Voya Investment Management,

a leading provider of retirement products and services, sees compelling reasons for financial advisors to become experts in personal retirement planning. Jake Tuzza, head of Intermediary Distribution for Voya, recently discussed with Financial Advisor magazine the challenges, opportunities and a new initiative, Voya Retirement University for Advisors™.

What are the biggest pressures advisors are facing today?

Tuzza: You’ve got regulatory issues, fee disclosure requirements, unrealistic client expectations and market volatility. All of this puts a lot of stress on the advisor’s practice. Advisors need the right tools to work effectively with these clients.

Retirement is the primary objective for at least half the clients of three-quarters of advisors and for 75% or more of the clients of one-third of advisors.1

What do personal retirement clients think is most important from an advisor?

Tuzza: Clients are looking for an advisor that can talk them through volatility, help them sleep at night and built a portfolio that will be able to perform in different market environments. According to research, managing client fears and expectations is the number one concern for advisors. But many advisors get caught in the trap of focusing on alpha or star ratings as the primary investment goal. When markets go down, that could stress the client’s portfolio and the client relationship.

What skills and expertise should advisors develop to differentiate themselves as personal retirement specialists?

Tuzza: It really comes down to two areas—investment-related (managing portfolio risk and volatility) and relationship-related (managing clients’ fears and expectations). By building historically consistent, reliable portfolios, advisors will

be able to more effectively manage client relationships across any market environment. Advisors must set clear, long term objectives up front and continue those conversations throughout all market environments.

How can advisors improve their personal retirement skills and expertise?

Tuzza: Recognize and embrace some of the professional development that’s out there, including Voya Retirement University for Advisors™. Embedded in our program is

our Consistency Lens™ methodology, which evaluates fund manager performance based on rolling three-year returns and applies six return-based factors that we have found to be linked to manager reliability—Infor-mation Ratio, Sortino Ratio, Overall Ratio, R-Squared, Upside Capture and Downside Capture. Applying these factors can reduce the range of uncertainty when evaluating funds. In the large cap growth universe, for example, rolling three-year returns between 2005 and 2015 ranged from -1% to +17% for all managers. When applying the Consis-tency Lens™, that range was reduced to +9% to +13%.

Retirement University also educates advisors on how to help clients exhibit good, “consistent” behavior which achieves

better investment outcomes than having potentially sabotaging knee-jerk reactions to market events.

What marketplace changes should advisors anticipate while they’re revamping their toolboxes?

Tuzza: Greater emphasis on fees will persist, which means finding new or stronger ways for advisors to demonstrate their value will continue to be important. We’re also coming out of a five-year bull market and most market experts expect the next five years to look very different. When fixed-

income yields are low and there is volatility and dampened expectations in the equity market, portfolio construction and manager selection are even more critical. Finally, research shows 70% of advisors expect to see an increase in the number of personal retirement clients, yet only 16% position themselves as retirement experts.2 There is tremendous opportunity.

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1,2 Practical Perspectives, Advisors Working With Retirement Clients,

April 2016. Past performance is no guarantee of future results

*Practical Perspectives, Advisors Working with Retirement Clients, April 2016. For financial professional or qualified institutional investor use only. Not for inspection by, distribution or quotation to, the general public.

Advisors Must Stand Out To Grow

More than 70% of advisors expect to see an increase in the number of personal retirement clients*

But only 16% position themselves as retirement specialists*

6 WWW.FA-MAG.COM

our CConnsiissttenccy LLLens™ methodology, which evaluuattess fuundd mmaanager performance based on roollinngg tthhreee-yyeear returns and applies six returrn-bbaasseed ffacttotors that we have found to bee linnkekeedd to maaanager reliability—Infor-matioon Raaatiio, SSorrttino Ratio, Overall Ratio, R-Squareedd, Uppsiddee Capture and Downside Captturee. AAppplyyingngg these factors can reduce the raanggee off unnceertainty when evaluating fundss. IIn ttthee laargeee cap growth universe, forexammplle, rroollinng tthhree-year returns between 20055 aandd 220155 raaanged from -1% to +17% for alll mmaannaagers. WWhen applying the Consis-tencyy LLennss™™, tthatatt range was reduced to +9%% too ++1133%.

Reetirremmmeent Unniiversity also educates advissorrs ooonn hoow ttto help clients exhibit goodd, “ccoonnssisteentt”” behavior which achieves

income yields are low and there is volatilityand dampened expectations in the equitymarket, portfolio construction and managerselection are even more critical. Finally,research shows 70% of advisors expect to see an increase in the number of personalretirement clients, yet only 16% position themselves as retirement experts.2 There istremendous opportunity.

TM

To learn more, visitRetirementU.Voya.com/FA

1,2 Practical Perspectives, Advisors Working With Retirement Clients,

April 2016. Past performance is no guarantee of future results

*P ti l P ti Ad i*Practical Perspectives, Advisorp , W ki ith R ti t Cli ts Working with Retirement Clientg A il 2016 Fs, April 2016. For , pfinancial professional or qualified institutional investor use only. Not for inspection by,distribution or quotation to, the general public.

But only y 16%16%6% position themselv position themselveses as retirement specialists*

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U.S. To boot, yields found in these bond markets are generally higher than those available in the U.S. (*Source: Bloomberg. Represents the trade-weighted U.S. dollar as calculated by the Bank of England, 1/1/1975 to 9/30/2012.)

Collins: If I had to pick three fixed income choices, it would be a core/core plus bond fund, a high yield bond fund, and a global bond fund with a fair amount of emerging debt associ-ated with it. As interest rates on U.S. debt have come down, the yields offered by a lot of traditional core bonds are now in the low to mid-single digits at best—so I believe having a higher yielding fund offering is really timely. [See Figure 1.]

Bier: What about floating rate income funds which are also men-tioned in the white paper?

Collins: Floating rate income funds, which invest in senior secured loans where the interest rate periodically resets based on changes in a specified benchmark rate, are generally comprised of high yield or below investment grade issues. If rates do go up significantly—when the Federal Reserve eventually raises rates again—generally the floating rate structure of the loans will result in notably less prin-cipal volatility than a fixed rate bond. They should ultimately provide a higher coupon or a higher yield, but with more risk, as well. Also, while loans tend to be less sensitive to economic cycles than high yield bonds, they are nonetheless a hybrid vehicle between stocks and bonds so I think they can play a role in diversifying a portfolio.

Bier: What happens with floating rate bond funds if interest rates remain flat for a while?

Collins: Historically, you basically capture the yield with some potential for price appreciation. That’s why now if I had to choose between a high yield bond fund and a loan fund, or a high yield bond and a loan, on average, I currently favor high yield bonds because they have a little more upside potential.

Tipp: On the heels of the huge decline in interest rates that we’ve seen in recent years, I believe there’s a general misper-ception by investors that if they stay in cash they’ll be better po-sitioned over the next five to 10 years because at some point the economy will be better and the Federal Reserve will raise interest rates. But in all likelihood, much of the decline in interest rates from the high levels of the 1970s and early 1980s may very

of the duplication that’s in there today and give participants the opportunity to build a truly diversified set of portfolios.

Mike Collins: There are always 15 to 20 different flavors of equity—large cap, small cap, mid cap, value, growth, inter-national, U.S.—and then there’s one bucket that says bonds. That’s how fixed income has been thought of historically.

Rosenberg: That’s not the way it happens in the defined benefit world or the institutional world. It’s truly just like the equity marketplace—there are types of fixed income that you can put together to either help enhance your opportunities for returns or help lower potential for risk.

Bier: Should fixed income be playing a larger role in every DC plan, or is it only important for certain types of plan participants?

Rosenberg: Certainly fixed income should be represented in every plan menu. Like with equities, it’s a plan-by-plan decision. This is not a one-size-fits-all type of market. That’s where advisors and consultants need to have really interesting and thoughtful conversations to find out a plan sponsor’s goals and objectives for offering the plan, and what their participant base is looking to do.

Bier: What factors should be considered when selecting fixed income options for DC plans?

Rosenberg: Retirement plan menus aren’t created for a point in time; they’re created for long-term investing. Think about the long term and include investment alternatives that will react in differ-ent economic environments, different interest rate environments. The first thing you have to do when you add any investment prod-uct is to make sure it has a sound investment rationale: Why are you adding this and is it going to help participants construct bet-ter portfolios? You don’t want to just add funds to add funds. Too many choices paralyze participants. Advisors and consultants need to consider a well-diversified core/core plus fixed income fund and maybe one or two other fixed income satellites.

Bier: What types of fixed income funds can potentially help par-ticipants construct better portfolios?

Robert Tipp: Retrenching into fixed income or into the lowest risk vehicles may help people conserve, but that doesn’t find them a middle ground in terms of something that will have a somewhat higher return than a core/core plus fixed income mandate but with potentially less volatility than equities. High yield bond funds—and we focus on higher rated high yield—is one of those middle grounds that could become more of a value generator. It’s an asset class that has been very efficient in terms of the amount of return that you get per unit of risk. In fact, higher rated high yield bonds have among the most attractive risk-adjusted returns of all U.S. asset classes over the long term in my opinion. (Sources: Morning-star, Barclays, 1/1/1997 to 9/30/2012.)

Since the U.S. dollar has historically been one of the world’s weakest currencies*, diversifying into a global bond fund may help investors protect their purchasing power. Many emerging market countries, for example, not only have favorable growth dynamics relative to the U.S., but also have been reducing their government debt burdens and are, as a result, on a trend of improving credit quality. Also, a number of developed countries, such as Norway, Sweden, Australia, and Canada, have also ex-hibited strong growth and better fiscal discipline relative to the

well be permanent. Investors need to be careful that their invest-ments don’t have unduly short durations since a shortening on the yield curve will reduce their income and eliminate the natural balancing effect that intermediate- and longer-term fixed income securities can have on an overall portfolio. Something I think that people have missed to some extent is that intermediate- and lon-ger-term fixed income portfolios are often a good diversifier since they tend to fluctuate inversely with stock investments.

Bier: Why should advisors and their clients feel confident about high yield bonds, given their historically poor reputation, and about global bonds, given the global debt crisis?

Tipp: While it may seem counterintuitive to allocate to global bonds given the crisis in Europe, one of the potential benefits of an actively-managed global bond fund is its abil-ity to rotate among countries to find the best opportunities. In contrast, a single country fund is largely captive to that country’s political and economic cycles.

Collins: To be sure, high yield bonds have fluctuated with the economic cycle, but over the long term, their generous yield lev-els have more than offset losses from defaults, which average just under 5% a year over the long term. (Source: Moody’s as of 9/30/2012.) Additionally, if you look at the historical performance of the asset class on both an absolute and risk-adjusted return ba-sis versus other bonds and equities, I believe it looks really appeal-ing. One of the adages is you could get returns competitive with the U.S. stock market with about half the volatility [See Figure 2].

I would never recommend that individuals invest in a hand-ful of individual high yield bonds. The funds offered on plat-forms of defined contribution programs tend to be really di-versified. We have hundreds of different high yield bonds in the funds we manage. So investors could capture the positive attributes of the asset class without having the idiosyncratic risk of a default really impacting principal.

Bier: Are fixed income investments already benefitting DC port-folios, and what performance period is most relevant to look at?

Collins: Over the last decade, most bond sectors have outper-formed U.S. stocks, with the highest yielding bonds performing

best. [See Figure 3.] So to the extent people have selected bond options in their allocation, it’s really provided the ballast—not only in incremental return and capital growth, but in years like 2008 core bonds had the highest returns. I’d look to at least a five-year performance period. A full cycle is probably really more like 10 years but a five-year number at least to where we are today is a good snapshot because it has the entire 2007 to 2009 weakness and the 2010 to 2011 strength.

Bier: What should advisors be looking for when selecting fixed income managers?

Collins: Finding an appropriate manager is as important as picking the fund and the style of the fund. I think a stable team is really important; you don’t want a place where there’s a lot of turnover. You also want a team with deep resources, really strong research and risk management capabilities, great sys-tems and processes, and a proven long-term track record that’s managed through different economic cycles.

Tipp: It’s important to hire asset managers with a wide range of skills that can use the full spectrum of sectors and instru-ments available. While a manager using a narrow range of skills may be successful in certain market environments, I believe a manager with broad skills and experience should be able to de-liver consistently competitive performance over the long term.

Rosenberg: You also want a manager who has size and scale to give you access to the right deal flow, at the right price and at the right time. I think you also have to balance size and scale with the ability to be nimble. If you’re too big, you might not be able to add alpha by buying the right bonds. Alpha measures risk-adjusted performance, factoring in the risk due to the spe-cific manager rather than the overall market.

Bier: You’ve mentioned using the full spectrum of sectors. Can you give a quick rundown of some sectors advisors may want to think about?

Tipp: Experienced asset managers—for core/core plus funds, high yield bond funds, and global bond funds—should be ac-tively allocating across sectors to try to capture the most attractive relative value opportunities. U.S. multi-sector managers should be analyzing trends and value propositions across the fixed in-come spectrum: government bonds, mortgage-backed securities,

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Figure 1

COMPARATIVE YIELDS ON VARIOUS INDICESYields (as of 9/30/12)

Source: Bloomberg, Barclays. Past performance is no guarantee of future results.

Barclays U.S. Corporate

High YieldIndex

Barclays U.S. Aggregate

BondIndex

10-YearTreasury

Note

S&P 500Index

BarclaysU.S. Government

Index

7.19%

1.61% 1.64%2.07%

0.82%

Figure 2

RISK-RETURN CHARACTERISTICS OF VARIOUS INDICESAverage annual return and standard deviation of key asset classes (7/01/83–9/30/12)*

Aver

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Barclays U.S. Aggregate Bond

USD

Barclays U.S.Corporate High Yield

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12

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Figure 3

10-YEAR ANNUALIZED TOTAL RETURNSReturns (as of 9/30/12)

Sources: Morningstar. Past performance is no guarantee of future results.

BarclaysU.S. Aggregate

Bond Index

Barclays Global

AggregateBond Index

BarclaysU.S. Corporate

High YieldIndex

JPM EMBIGlobal

DiversifiedIndex

S&P 500Index

5.32%

6.45%

10.98%11.74%

8.01%

*Starting date selected to coincide with inception of Barclays U.S. Corporate High Yield Index. Source: Morningstar as of 9/30/12. Past performance is no guarantee of future results. Standard deviation is the statistical measurement of dispersion that measures how widely a stock’s or portfolio’s returns varied over a certain period of time.

ception by investors that if they stay in cash they’ll be better po-sitioned over the next five to 10 years because at some point the economy will be better and the Federal Reserve will raiseinterest rates. But in all likelihood, much of the decline in interest rates from the high levels of the 1970s and early 1980s may very

dynamics relative to the U.S., but also have been reducing their government debt burdens and are, as a result, on a trend of improving credit quality. Also, a number of developed countries,such as Norway, Sweden, Australia, and Canada, have also ex-hibited strong growth and better fiscal discipline relative to the

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Prudential Investments Mutual Funds, part of Prudential Financial, spends a lot of time providing thought lead-ership with input from Prudential Financial’s affiliated institutional managers. A topic it has recently given

much attention to is fixed income choices in defined contribu-tion (DC) plans. Earlier this year it published the white paper Insights on Investing: Fixed Income Options within DC Plans for the purpose of initiating dialogue with advisors and consultants.

Jerilyn Klein Bier, a contributing editor for Financial Advisor magazine, recently engaged in a roundtable discussion with key professionals at Prudential to discuss this topic. The participants included Michael Rosenberg, senior vice president and director of Investment Only Defined Contribution (IODC) Distribution for Prudential Investments; Robert Tipp, managing director and chief investment strategist for Prudential Fixed Income; and Michael J. Collins, senior investment officer and portfolio manager for Core Plus Fixed Income Strategies at Prudential Fixed Income. Here they explain why offering a wider selection and variety of fixed in-come choices to DC plan menus can potentially provide higher re-turns, greater diversification and less volatility to retirement portfo-lios. They also explain how financial advisors can help in this effort.

Jerilyn Bier: Mike R., what trends and evolving needs of plan participants suggest that fixed income needs to become a bigger focus in defined contribution plans?

Mike Rosenberg: First, there’s an aging workforce and its par-ticipants tend to want to invest more conservatively, safeguard

their assets and turn the assets they’ve accumulated into a stream of retirement income. Second, there’s been unprec-edented market volatility due to the financial crisis of 2008 and the markets in general, so people are looking to become more conservative. The third trend has to do with the move away from off-the-shelf qualified default investment alternatives (QDIAs) to custom QDIAs. The vast majority of plans that are using custom QDIAs or custom target date funds use the core funds within the plan to create those QDIAs. So having a broader mix of fixed in-come alternatives may provide potential to build better portfolios.

Bier: How underrepresented are fixed income investments in DC plans, and why do you think plan sponsors currently offer rela-tively few options?

Rosenberg: The average plan has 18 investment choices and 15 to 16 of those are equity choices, according to a 2010 study from the Plan Sponsor Council of America. Since DC plans were originally intended to be accumulation vehicles, the natu-ral choice was to offer more and more equity funds. The intent wasn’t to underweight fixed income; it was to build broadly di-versified portfolios. But I think that over time it got very skewed.

When advisors and consultants are looking to take over a book of business or a plan, they’re often saying let’s see what you have today and refining or tweaking it. I think it’s a great time, given the new rules and regulations on fee disclosure and fee transparency, for them to step back, think about what they want to accomplish and build menus from the ground up. They’ll probably avoid a lot

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Prudential Investments® believes there are a number of compelling reasons why fixed income funds can help enhance defined contribution plans.

FIXED INCOME CAN HELP ENHANCE RETIREMENT MENUS

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Size 300x600

Rate $5,000/edition

Spotlight On This is a hub that lives within the FA-mag website built exclusively for the client. This subsite allows you to feature literature, marketoutlooks, whitepapers, videos, etc. All featured content will click through to the client’s URL to read/experience in its entirety. Traffic drivers/promotional placements will be determined by the type of content featured within the hub.

Website Homepage Takeover This opportunity allows you to achieve 100% SOV of the entire page in the form of seven banners that will surround all of the content to capture the viewers attention to your messaging.

Mobile Takeover An opportunity to achieve 100% SOV of the banner positions displayed on mobile devices. This includes four banner placements as well as the mobile interstitial unit.

Native Advertising FA magazine will work closely with the client to create a custom article which will flow seamlessly with other content on our web-site. The article will be marked as “Sponsored Content” and will be promoted the same way we promote all other articles. The client may also provide the content, if approved by our editorial staff.

Conference Content SponsorshipsAn opportunity to sponsor the content that we stream onto FA-mag.com from major industry conferences such as Schwab Impact, Morningstar, TD Ameritrade and others. We also offer sponsorships of all FA produced conferences such as Inside Retirement, Inside Alternatives, Invest in Women, etc.

Exclusive Sponsorship Of Our Annual Young Advisors To Watch List Our editors compile this list every year and it is a high interest read by our advisor community.

Customized Subscriber Studies We will work with you to create a customized study to our advisor community. We will collect the results and compile a report for you. Client is given complete anonymity by having FA conduct the study for them.

Video DistributionWe will include your video in various newsletters and dedicated emails as well as within our own library of videos to gain as much attention to your content as possible.

Contact your sales representative for consideration of a topic not listed above.

Contact your sales representative for more information.

Alternatives

Broker-Dealer

Benefits

College Planning

Compliance

ETFs

Fixed Income

Insurance & Annuities

International

Investment Perspectives

Mutual Funds

Retirement

Retirement Income

Retirement Planning

RIA News

Technology

Variable Annuities

Women In Planning

FOR SPECS VISIT: www.fa-mag.com/online-specs-e-newsletters

FA News


Other Unique Opportunities


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Exclusive Run of Channel Sponsorship Package

Broker-Dealers

Economy

Estate PlanningETFs Retirement Income

TechnologyU.S. Equity Funds

Women and Planning

MUTUAL FUNDS CHANNEL ETFs CHANNEL

ROTATING BUTTON BOX

Monthly Channel Sponsorship Includes:

A B

C

Available Channels for Sponsorship:

B Sponsor’s logo included on topic e-mail sent one time per month of sponsorship $5,000/month

C Homepage rotating button box

A 4 banners on topic page



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E-Directs

Send your customized marketing message to our list of e-mail subscribers. Html and text versions are permitted.

Additional Assistance and Options: FA can assist you with selecting or creating the most effective subject lines to target our advisor community.

different subject lines to test the strength of your subject line choices.

Rates $10,000 Monday through Friday $5,000 Saturday or Sunday



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Lead Generation Program

FA Whitepaper Distribution

After review of your campaign message, a customized program will be created and executed by our staff. At the close of each month, a series of activity reports will be provided to you as well as the leads that were collected through these efforts.

Elements that may be included in your customized program:

All placements will be scheduled at our discretion

Financial Advisor will feature branded whitepapers from industry sponsors and thought leaders, available to subscribers through a monthly digital whitepaper alert blast and posted within the whitepaper section of FA-Mag.com for one month.

For each month’s posting, you will be entitled to one whitepaper alert listing and a one-month listing in the whitepaper section of FA-Mag.com. We can only accept a PDF file of the research paper for our distribution offer. Please refer to our lead generation model if you would like to include a URL with submission form.

Rate: $150/lead

Sponsorship Rates

1x $1,200/month

3x $1,100/month

6x $1,000/month

12x $900/month

The above rates reflect per single listing. For multiple listings by the same firm in the same month, a frequency discount would apply.



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A webcast offers our clients the chance to be recognized as industry leaders, educators and information providers. With every event we create a robust promotional campaign, which is custom-designed depending on the topic of each event. We also provide our technology platform and, if applicable, we will handle the entire process of submitting your webcast content for consideration by both the CFP Board and IMCA for CE credit approval. Approval is not guaranteed but would be granted upon review of the content by both boards. After the event we will provide the full list of registered attendees for your event.*

Brief definitions and pricing for each level is listed below. Please contact your representative for a complete list of entitlements.

SPONSORSHIP LEVEL. On occasion, contributors of Financial Advisor magazine will fully produce a single webcast or a series of webcasts on a specific topic such as: Women in Wealth, Retirement, Estate Planning, etc. Your firm’s branding will be included on all promotional efforts. The sponsor will introduce the moderator and also make closing comments. Some of the contributors from past webcasts include Tom Dorsey, Mark Hurley, Bill Bachrach, Nick Murray and Dr. Katy Votava. If one of our webcast topics align with your campaign objective, it would serve as a perfect vehicle to offer positive branding for your firm.

Rate: $10,995

MEDIA PARTNERSHIP LEVEL. Partner with Financial Advisor to give your fully produced webcast greater exposure in the advisor community and increase attendance. All of the content at this level is provided completely by the client, Financial Advisor will not alter the content in any way. For this level, any panelist participating on the event will be sought solely by the client. Financial Advisor will not seek panelists for the event at this level. If any assistance is needed from the Financial Advisor magazine staff for content creation or seeking additional panelists this would be considered a custom level event.

Rate: $15,995 Please note that if your event will require assistance above and beyond our usual services, an additional fee may apply.

CUSTOM LEVEL. Financial Advisor magazine editors will work with the client to create a single webcast or a series of webcasts. Clients will be able to choose the topic and panelists for each event. Our editors will research the content to be included and will also be the contact for panelists on behalf of the client. Our editors have some of the strongest relationships with highly recognized industry experts, which is beneficial to the success of an event with Financial Advisor magazine.

Rate: $19,995 Please note that if your event will require assistance above and beyond our usual services, an additional fee may apply.

*For one-time use only, list rental agreement is required.

Delivery Schedule: Within five business days of flight date. Some rich media formats require seven business days for testing.New Creative: Option to change creative content of any advertising space once per month.Creative Submission: Call Dawn Zarcaro at 732.450.8866, ext. 22 or [email protected] Questions: Call Keith Huryk at 732.450.8866, ext. 20 or [email protected]

Webcast Events

Additional website information.


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3RD ANNUAL

INVEST IN WOMENMay 9-10 | Hyatt Regency DallasInvest in Women is the leading nationwide forum offering a 360-degree approach to exploring, discussing and learning about issues that are meaningful to female financial advisors, industry executives and the clients they serve.www.fa-mag.com/women www.fa-mag.com/women

8TH ANNUAL

INSIDE RETIREMENTMay 11-12 | Hyatt Regency DallasThis event is the first and largest retirement conference for advisors. Key industry experts and prominent advisors share their insights and strategies and help advisors assist clients with individual retirement needs. The conference offers a forum to hear and share ideas on the new realities of retirement and allows advisors to discuss the latest strategies and top-level solutions. www.fa-mag.com/retirement

6TH ANNUAL

IMPACT/SRI & ESG INVESTINGOctober 23 | Sheraton Denver DowntownLeading industry experts will share their insights and acumen on ways to gain and retain clients by leveraging the myriad attributes impact investments afford. From prospecting to client meetings and next-generation planning, attendees will amass the knowledge and skill sets to serve clients at a higher level and collaborate for a more prosperous future. www.fa-mag.com/impact

8TH ANNUAL

INSIDE ALTERNATIVESOctober 23-24 | Sheraton Denver DowntownUsing Liquid and Traditional Strategies to Diversify and Improve Alpha. As the industry’s first, largest and most influential alternative investments conference, this event brings together leading advisors and financial professionals from FA and PW magazines to discuss strategies for how advisors can diversify client portfolios and access non-correlated asset classes with liquid and traditional investment vehicles. www.fa-mag.com/alts

2ND ANNUAL

SMART BETA STRATEGIES SUMMITOctober 26 | Sheraton Boston HotelSmart beta strategies have garnered a lot of attention both in the media and with investors. Reports indicate that $1 out of every $5 are now going into these strategies. For this 1-day event, our speaking faculty of leading smart beta fund managers and experts will help investors better understand these products and explain how and why they fit into a multi-asset class portfolio. With buyside investor-only attendance, we anticipate a 10:1 ratio of buyside investors to sponsors. www.fa-mag.com/smartbeta

Conferences & Events 2017

FA—2017 CONFERENCES AND EVENTS

FOR SPEAKING OR SPONSORSHIP OPPORTUNITIES, CONTACT: David Smith, Founding Publisher at 732.450.8866, ext. 26 or [email protected].

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MAGAZINES:

Financial Advisor, Private Wealth and ETF Advisor

CONFERENCES:

West Coast and Midwest Region Advertising Director

Sarah Haase 312.504.8755

[email protected]

Publisher East Region Advertising Director

Diane Rogala 732.493.2159

[email protected]

New England Region Advertising Director

Rich Ofsthun 617.470.9291

[email protected]

Digital Advertising Director Toni Cantwell

732.450.8866, ext. 19 [email protected]

Associate Publisher - Digital Sandra Croce 732.450.0193

[email protected]

News And Trends On Exchange-Traded Funds Fall 2016

The Next Emerging

Markets Opportunity

And the funds to play that

An ETF-Only

ShopWhy one advisor

switched to ETFs

Hidden Costs Of

ETFsThey might potentially

exceed a fund’s

expense ratioO’Leary

On O’Shares Kevin O’Leary sees big things

for his O’Shares ETFs.

Kevin O’Leary, chairman O’Shares Investments


Nick Murray Provides Annual Picks

Ideas For American Prosperity

PE Vs. VC: Choices For Clients

Growing RIAs look to recruit executives with big-business experience.

Relura Horton, President and COO of Parallel Advisors

FROM GIANT BUSINESS

TO SMALL FIRM

FALL 2016 WWW.PW-MAG .COM

ADVISING THE EXCEPTIONALLY

AFFLUENT

PLUS • AN ALPS HIDEAWAY FOR THE SUPER-RICH• IMPACT INVESTORS FOCUS ON MIDDLE EAST• ‘OOPS!’ SPELLS DISASTER IN THE ART WORLD

PITCAIRN HAS BROUGHT ITS FAMILY OFFICE APPROACH TO A

WIDE GROUP OF FAMILIES.

PITCAIRN TODAY

From left, Leslie Voth

Rick PitcairnDirk Jungé

Group Publisher, David Smith 732.450.8866, ext. 26

[email protected]

www.fa-mag.com www.pw-mag.com www.etfa-mag.com

Digital Advertising Director Justine DeGaetano

516.770.6888 [email protected]

media kit - fa-mag.com · ax planning mark et a n s s y olle ge p g gement al fund review s ......

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