Market Barometer - Morningstar



TD AMERITRADE Institutional Edition Of:

Morningstar® Advisor Workstation

Question & Answer

1. What is Morningstar Advisor Workstation TD AMERITRADE Edition?

2. Benefits of The TD AMERITRADE Edition of Advisor Workstation

3. What customized solutions will TD AMERITRADE be offering?

4. When can I begin using this Product?

5. How can advisors sign up?

6. Web Demonstrations, Training & Support Material

7. Can you import outside portfolio data?

8. Tech Support and Requirements

9. When will integration be available?

10. What are the Morningstar Advisor Workstation features?

1. What is Advisor Workstation?

Morningstar Advisor Workstation is a web-based solution specifically designed for financial advisors, bringing together the best of Morningstar’s capabilities in investment research, presentation and proposals, portfolio management and diagnostics and planning. Workstation gives Advisors all the tools that they need to help conduct fundamental investment research, create sophisticated investment plans and presentations, and grow their business.

2. Benefits of the TD AMERITRADE Editions of Advisor Workstation

Retain & gain assets from current client base

← Utilize an industry leading product at a great price.

← Quickly answer client questions.

← Use the Morningstar brand to support reporting and on-going planning decisions.

← Alerts take portfolio oversight to a new more automated level, keeping you one step ahead of your clients.

← Easily e-mail or mail colored NASD compliant reports, such as the Snapshot to your clients as a “portfolio report card” or quarterly updates.

← Use third party Morningstar Investment Detail Pages to back up the securities you recommended.

← Online daily data updates, MF close of business, Stocks every 20 minutes, and VA’s every 3 days.

← In a sales-based setting it is always easier to sell additional product to an existing client than it is to convince a new prospect to make a purchase. Workstation will help you do both well.

Increase productivity & efficiency

Given the recent downturn in the economy we have all been forced to become more efficient, the integration of tasks, easier sharing of information and workflow based tools help support advisors business needs.

Attract more profitable clients

Advisor Workstation can be a cornerstone to a rep becoming a full service financial planner, providing a system that makes it easier for advisors to create financial plans, offer quality research data and analysis and produce sales materials, from one of the most highly trusted and recognized names in the industry.

Showcase your ability with Market Barometer

Provides an innovative, at a glance view of the market, allowing instant analysis of performance trends. By rendering each index in varying shades of red and green according to performance, market movements are clearly revealed. Index performance is easily seen in context and patterns can be quickly discerned.

Increase the power of your sales pitch with Hypothetical Illustrations

Individual – Illustrates historical performance in an NASD-compliant hypothetical Report that can be given directly to clients

Portfolio – Shows how each security within a portfolio contributes to the overall performance of the portfolio

Back up your proposals with NASD-reviewed Morningstar Investment Detail Pages

← Highlights key performance, investment style, portfolio, and operations information in a single page NASD compliant format.

← Mutual Funds – 16,000+ , 150+ data points

← Stocks – 6,500+ , 150+ data points

← VA’s – 40,000+, 150+ data points

Communicate your plans with NASD-reviewed Charts and Graphs

← Rolling Returns – Highlights security volatility

← Investment Growth – Compares individual investment performance over a specified period of time.

← Risk Reward Scatterplot

← Total Annual Returns

← Correlation Matrix – Shows relative correlation among a group of securities, both as a specific number and within a color-coded range. Helps the advisor look better diversification.

Provide your clients with an overview of their performance with the Portfolio Snapshot

Client Summary – provides an in-depth synopsis of the client’s portfolio, with asset-class and investment style breakdowns, performance information and top holdings.

Advisor Detail – shows high-level portfolio statistics including fundamental analysis, risk measures and risk reward scatterplot.

Diagnose problem spots in portfolios using the Portfolio X-Ray Tool and Report

← Includes detailed relative sector exposure, investment style breakdowns, top holdings for the overall portfolio and regional exposure.

← Analyze sector, style, bond data and regional exposure.

← Identifies what investments are driving portfolio exposures.

Identify areas of overconcentration with the Stock Intersection Tool

Identifies cumulative exposure to individual equities, based on stock holdings and the underlying holdings of the managed products in the portfolio.

Understand your clients strategy with full Risk & Needs Assessment

Summarizes your client’s risk scoring and suggested asset mix with historical performance data for the suggested asset mix.

Great talking point for clients whose goals do not necessarily match their risk tolerance. You can address asset allocation, longer time horizons, more investing, or a more attainable goal.

3. What Customized Solutions Will TD AMERITRADE be Offering?

TD AMERITRADE, once again, is offering Advisors choice and flexibility, allowing you to choose custom versions of the Advisor Workstation tool, called the TD AMERITRADE Editions, to fit your needs. No other custodian serving independent RIAs offers this. In addition to offering the 3 unique solutions, Morningstar® Advisor WorkstationSM is now fully integrated with the Veo platform. This integration includes seamless login for Master Account User, seamless import of TD AMERITRADE client data, and custom household creation and import of TD AMERITRADE data.

The three unique solutions we offer are:

← TD AMERITRADE Workstation Solution 1:

This solution includes the Research and Clients & Portfolios Module in one yearly subscription price. For this price, you get access to Morningstar’s comprehensive research database as well as portfolio analytic and diagnostic tools including Portfolio X-Ray and Stock Intersection and Portfolio Snapshot Reports. Research coverage includes Mutual Funds, US Stocks, Variable Annuity/Life policies and sub-accounts, Closed-End funds, and Exchange-Traded funds.

← TD AMERITRADE Workstation Solution 2:

This solution gives you all the benefits of the Research, Clients & Portfolio, but adds the Sales Module in one yearly subscription price. In addition to all the above features, the Sales Module brings you Hypothetical Investment Illustration tools. You can create NASD compliant reports showing the historical growth of a proposed investment over a prior period backed with Investment Detail Pages and the proper disclosure documents.

← TD AMERITRADE Workstation Solution 3:

The most complete solution offered includes Research, Clients & Portfolios, Sales and the Planning Module in one yearly subscription price. This solution builds on the above benefits by adding risk-based asset allocation features, needs assessment, calculators, and multiple goal planning capabilities including Monte Carlo simulation allowing you to create a complete investment plan for your clients.

Additional Functionality Available with ALL Solutions at No Extra Cost!:

← 529 Plans:

Morningstar’s 529 plan data from Morningstar will give you access to the Plan Selector, Funding Forecaster, Portfolio Illustrator, Tax Benefit Calculator, College Cost Listing, Morningstar Reports. Full detail under section 11 below.

← Separate Accounts Database:

Morningstar's Separate Account database will enable you to access Morningstar's data on over 4,900 separate accounts throughout each of the TD AMERITRADE Editions of the Advisor Workstation application. For example, users will be able to create Separate Account hypotheticals, screen and rank separate accounts in the research view, and analyze portfolios with separate accounts using Portfolio X-ray.

For complete details on the available solutions, see section 11 below.

4. When can I begin using this product?

You may begin using this product immediately at the discounted rate.

5. How can Advisors sign up?

You may sign up by calling Morningstar at 866-431-3969.

You may also sign up for a free 15-day trial at

6. Web Demonstrations, Training and Support Material

← A dedicated training site has been developed for you as a resource at . Web demonstrations times and dates are updated frequently on this site.

← For additional requests, call Morningstar at 866-431-3969.

Web Demo Schedule

A full schedule is available on the Web at . Look under Site Highlights. Seating for the demos is limited and registration will be on a first-come, first-serve basis.

*Veo Announcements will host additional times for WebPlaceWare demonstrations.*

7. Can you import outside portfolio data?

The Clients & Portfolios Module allows you to import client and portfolio data from Morningstar Principia®, statementOne®, Advent®, Centerpiece®, Techfi®, and other popular research and portfolio programs, so you will not waste time with redundant entry of portfolio information and other client details.

8. Tech Support

Please call the TD AMERITRADE Morningstar Support Group at 1-866-431-3969 should you have any questions.

Technical Requirements

The following settings are recommended for optimal performance:

Connection speed

DSL, cable modem, or higher

Browser

Microsoft® Internet Explorer 5.x and higher, or Netscape® 4.71 and higher

Browser settings

Enabled for cookies, JavaTM, and JavaScriptTM

Operating System

Microsoft®Windows® 95 and 98SE, Windows® NT 4.x, Windows® 2000, and Windows® XP

Processor type, speed, RAM and disk space

Intel® Pentium® II, 400 MHz or higher, 128 MB RAM, and 200 MB disk space

Monitor resolution

1024 x 768, at least 65,536 colors, small font settings

Printers

For optimal performance, we recommend using a color printer when printing graphs and reports with graphs.

Third-party applications

Adobe® Acrobat® Reader® 4.0 or higher

Security Protocol

Morningstar Advisor Workstation uses 128-bit Security Sockets Layer (SSL), the encryption standard employed by most banks and credit-card companies for transmission of data over the internet.

9. When will integration be available?

Morningstar Advisor Workstation now integrates with the Veo Platform. This integration includes seamless login for Master Account User, seamless import of TD AMERITRADE client data, and custom household creation and import of TD AMERITRADE data. Please contact TD AMERITRADE Morningstar Support Group at 1-866-431-3969 if you have questions.

10. What are the features of the 3 TD AMERITRADE Editions of Advisor Workstation?

|Solution 1 |Highlights |

| | |

|Research |Morningstar established the gold standard in security research with Principia, the industry’s |

| |leading investment management software. With the Advisor Workstation Research module, Morningstar|

|Data for MF, VA and Sub-Accounts, Stocks, |delivers its most comprehensive resources yet for security selection. Databases feature more than|

|Closed-End Funds and ETFs |150 data points on over 22,000 mutual funds, 51,000 variable-annuity/life sub-accounts, 7,600 |

|Graphs |stocks, 100 exchange-traded funds, and 900 closed-end funds, with daily updates on most |

|Investment Detail Reports |performance statistics. Advanced screening capabilities make it easy to sift through securities |

|Quicktakes (includes top 25 underlying |to find optimal recommendations and streamline portfolio creation. Automated security alerts |

|holdings) |enhance client satisfaction by allowing advisors to stay on top of important changes in style, |

|Saved Lists |performance and operations. With over 300 benchmarks, Advisor Workstation offers the most |

|Saved Searches |relevant comparison gauge for any fund or sub-account. |

| | |

| |NASD-reviewed Investment Detail Reports present comprehensive performance and portfolio data in |

| |format investors instantly recognize and respect. The familiar Morningstar Rating™ and |

| |Morningstar Style Box™ lend credibility to proposals, helping advisors close sales. Plus, the |

| |formatted PDF reports can be viewed or printed anywhere or e-mailed directly to clients. Graphing |

| |capabilities include investment growth, rolling return, risk/reward scatter-plot and total annual |

| |returns. This will also illustrate how several investments have performed over time, relative to |

| |one another or to benchmarks. |

| | |

|Clients and Portfolios |The Clients & Portfolios Module serves as the hub for your client interactions. It displays all |

| |of your client’s information in a single interface that facilitates easy portfolio importing, |

|Client/Portfolio Manager |detailed analysis, and ongoing monitoring. Advisors can analyze accounts independently or in |

|Portfolio Import |aggregate. Portfolio X-Ray is a powerful diagnostic tool that scans an entire portfolio at once |

|Portfolio Creation |to create a comprehensive picture of the portfolio’s underlying stocks, overall sector exposure, |

|Alerts |and overall investment style. Stock Intersection compiles the underlying holdings of each of the |

|Portfolio X-ray with Overview and |positions in a client’s portfolio to determine the actual exposure of individual stocks. Alerts |

|Intersection Views |provide daily notification of any significant changes in ratings, style drift, performance, and |

|X-ray Overview and Intersection PDF |operational details such as a portfolio manager change. |

|reports | |

|Solution 2 |Highlights |

| |Descriptions above |

|Research and Clients & Portfolios Modules | |

| | |

|Add: Sales Functionality |The Sales Module helps you turn complicated investment information into clear insight. Advisors |

| |can create detailed reports and hypotheticals that showcase your expertise and recommendations, |

|Individual Hypothetical Illustrations |convince clients and prospects, and help grow your business. Hypotheticals can highlight a |

|Comparison Hypothetical Illustrations |security’s historical performance isolation, in comparison with competing funds, or in the context|

|Portfolio Hypothetical Illustrations |of its contribution to the overall performance of a portfolio. Our Hypothetical Reports are the |

|w/X-ray overview PDF |only ones in the industry that allow you to incorporate underlying holdings to show performance |

| |with relevant asset allocation, sector weightings, and style diversification information. |

|Solution 3 |Highlights |

| |Descriptions above |

|Research, Clients & Portfolios and Sales | |

|Modules | |

| | |

|Add: Planning Module |The Planning Module supports the development of sophisticated plans for multiple investment goals.|

|Risk Assessment |It gives you the tools to show clients how and why different strategies might succeed. Most |

|Needs Assessment |importantly, it facilitates meaningful interactions between the advisors and your clients that |

|Multi-goal Planner (Asset Allocation, |lead to smart, informed decisions. Advisors can use the Planning Modules multi-goal planning |

|Wealth Forecast/Goal Probabilities) |functionality to create a complete picture of their financial future based on all of their |

|without automated investment selection |investment and account details. The Planning Modules risk assessment questionnaire helps advisors|

|Manual Portfolio Construction |quickly assess a client’s true tolerance for risk. The Risk Assessment Report clearly illustrates|

| |the risks associated with a recommended asset allocation mix, based on historical performance. The|

| |Planning Module now also includes an Investment Policy Statement. |

|Additional Functionality with All |Highlights |

|Solutions at no Extra Cost! | |

| | |

|529 Advisor |Plan Selector - Narrow a list of options by identifying the plans that meet the client's specific |

| |needs, such as searching for plans with low annual maintenance fees. Or search by |

|Plan Selector |investment-management firm, just enter the criteria and get a short-list of plans that fit the |

|Funding Forecaster |bill. Tax-benefits for in-state plans are factored into results, so you can zero in on the best |

|Portfolio Illustrator |overall choice. |

|Tax Benefit Calculator | |

|College Cost Listing |Funding Forecaster - Determine the likelihood that clients will meet their college-savings goals |

|Morningstar Reports |by investing in a specific 529 plan. Simply enter your client's investment amount, time horizon, |

| |and savings goal, and the tool will calculate the probability that a particular plan will meet the|

| |target. Returns for in-state plans are adjusted to reflect tax benefits. |

| | |

| |Portfolio Illustrator - Strengthen presentations by illustrating how recommended 529 plans would |

| |have fared in a variety of historical market conditions. The hypothetical scenario is generated in|

| |an easy-to-understand, NASD-approved format. |

| | |

| |Tax Benefit Calculator - The 529 Advisor is the only tool set that offers a built-in tax-benefit |

| |calculator for in-state programs. Quickly determine whether the tax advantages of an in-state plan|

| |outweigh the potentially higher returns of an out-of-state plan. In making comparisons, our tools |

| |take into account the client's location, tax bracket, and time horizon. |

| | |

| |Morningstar Reports - Enhance research with concise reports that provide all the essential data |

| |and background information needed to make a decision. Advisors can reference Morningstar Report |

| |pages to answer any questions they might have about a plan's features, its portfolio options, or |

| |its underlying funds. |

| | |

|Separate Accounts Database |Selecting Morningstar's separate account database will enable Morningstar's data on over 4,900 |

| |separate accounts throughout the Advisor Workstation application. For example, users will be able|

| |to create separate account hypotheticals, screen and rank separate accounts in the research view, |

| |and analyze portfolios with separate accounts using Portfolio X-ray. |

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