Building an InnovatETF Business

IRA Rollovers

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For Financial Professional Use Only. Not for Public Distribution 2

ValueTotal

Households% of Total

U.S. Wealth

Mass Affluent $1 - $99,999 82 million 8%

Emerging Affluent$100,000 - $999,999

26 million 38%

High Net-Worth$1 million and

above3.5 million 54%

Segments by Investable Assets (excluding 401k assets)

Source: GDC Research

Advisor’s Asset Gathering Opportunities

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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

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Characteristics of ETF-Owning Households

    2009 2010 2011

ETFs Held in IRAs (%)3 6% 8% 10%

Households Owning ETFsMedian          Age of head of household     51   46 52Household income1     $120,000   $130,000 $125,000Household financial assets2     $350,000   $300,000 $500,000           

           

1Total reported is household income before taxes in 2010. Data as-of May 2011

2Household financial assets include assets in employer-sponsored retirement plans but exclude the household’s primary residence. Data as-of May 2011

3 Investment Company Institute IRA Owners Survey

Source: 2010, 2011, 2012 Investment Company Fact Books

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Source: 2012 Investment Company Fact Book

Characteristics of ETF-Owning Households

          Households      Households   Households owning      owning   owning Individual All U.S.

    ETFsMutual Funds Stocks Households

Median            Age of head of household     52   50 52 50Household income1     $125,000   $80,000 $87,500 $48,800Household financial assets2     $500,000   $200,000 $242,000 $75,000Household primary or co-decision maker for saving and investing:             Four-year college degree or more     62   46 49 31 Employed (full- or part-time)     69   73 67 58

Household owns:             IRA(s)     84   65 66 39 DC retirement plan account(s)     73   78 71 51             

1Total reported is household income before taxes in 2010.     2Household financial assets include assets in employer-sponsored retirement plans but exclude the household’s primary residence.Data as-of May 2011

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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

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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

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GLOBALT Makes It Simple

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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 GLOBALTinnovatetf.com or 877.428.6956

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Compliance Note

GLOBALT, Inc. is a wholly owned subsidiary of Synovus Financial Corp. and is a Georgia based investment adviser federally registered under the Investment Advisers Act of 1940.GLOBALT has prepared and presented this report for the sole usage of its clients as information, as of the date listed, and the information provided herein should not be considered a recommendation to purchase or sell any particular security. There is no assurance that any securities discussed herein will remain in a portfolio at the time you receive this report or that securities sold have not been repurchased. Any securities discussed or referenced may not represent a client's entire portfolio and in the aggregate may represent only a small percentage of a client's portfolio holdings. It should not be assumed that any securities, transactions or holdings discussed was or will prove to be profitable or that the investments or recommendations or decisions we make in the future will be profitable or will equal the investment performance of the securities discussed herein. Trademark(s) belong to their respective companies, and are the property of their respective owners. Indices are unmanaged and it is not possible to invest directly in an index. Exposure to an asset class represented by an index is available through investable instruments based on that index. There is no assurance that investment products based on the index will accurately track index performance or provide positive investment returns. The index returns shown do not represent the results of actual trading of investor assets. Index returns do not reflect payment of any sales charges or fees an investor would pay to purchase the securities they represent. The imposition of such fees and charges would cause actual and back-tested performance to be lower than the performance illustrated for that index. Past performance is not a guarantee of future investment results. There are risks, including possible loss of principal, associated with investing in securities, including but not limited to erratic market conditions, geopolitical risk, management risk, liquidity, non-diversification risk, focused investment risk, credit and counterparty risk. Content may not be reproduced, distributed, or transmitted in whole or in portion, by any means, without written permission from GLOBALT.GLOBALT, Inc. claims compliance with the Global Investment  Performance Standards (GIPS®).To receive a complete list and description of GLOBALT, Inc.'s composites and/or a presentation that adheres to the GIPS standards, contact Rainey Woodward at 877-428-6956, or write to GLOBALT, Inc., 3280 Peachtree Road, NE, Terminus 100 Suite 500, Atlanta, GA 30305, or e-mail rwoodward@globalt.com.

For Financial Professional Use Only. Not for Public Distribution

For Financial Professional Use Only. Not for Public Distribution

Learn More About GLOBALT

www.innovatetf.com

877.428.6956