This hypothetical example demonstrates using AssetLock on an initial portfolio valued at $100,000. The investor’s Value at Risk score determined a 10% AssetLock Threshold desired in the portfolio) making the starting AssetLock Value $90,000. If the portfolio experiences growth to a High-Water Value of $146,793, the AssetLock Value would then increase to $132,114. If the portfolio then experiences a 10% loss, reaching the AssetLock Value of $132,114, the financial advisor and investor will be notified to discuss the possibility of portfolio allocation adjustments.

AssetLock^® is tracking software used to monitor the performance of a client’s household portfolio, and to predetermine the amount of downside the client is willing to tolerate. It is NOT an actual stop order and will NOT automatically sell the individual securities in the household portfolio. The AssetLock^® Value is a reference point to encourage a conversation between the advisor/firm and the client to determine if the client’s household portfolio should remain unchanged, reset the AssetLock^® Threshold by reallocating to a different risk profile, or liquidate part or all of their household portfolio. AssetLock^® will send the client and their advisor alerts when the household portfolio reaches the client’s determined values, new all-time highs and/or the maximum targeted amount of downside the client is willing to accept. The client and their advisor are notified about changes in the client’s household portfolio. This notification requires that the client is subscribed to receive text message and/or email alerts from AssetLock^®. Message frequency varies. Standard message and data rates may apply.