1

“Best Practices”Client Review

Client: Mr. John Smith

Q1 2008

2

Agenda

• Wealth Process Overview

• Review Scorecard

• Changes and Concerns

• Confirming Goals, Resources and Strategies

• Strategy Review

– Product Sheets

– Investment Policy Statement

• Client Reporting

• Next Steps Worksheet

• Value Discussion

3

Your Five-Step Wealth Process

An integrated system for managing your assets in line with your overall objectives.

4

Review Scorecard

PROJECTS WHERE WE STARTED WHERE WE ARE TODAY

Create comprehensive investment plan

Identified goals, resources and strategies Currently reviewing 1st year of implementation

Develop Estate Plan

Identified needs, timeframe, structure etc. Process of drafting a proposal with Mr. Attorney

Text in grey indicates example

5

Changes and Concerns

“Have there been any changes to your lifestyle?”

Changes

“What keeps you up at night?”

Concerns

1. 1.

2. 2.

3. 3.

4. 4.

6

Confirming Your Goals, Resources and Strategies

WANT TO LATERWANT TO NOW

HAVE TO LATERHAVE TO NOW

LATERNOW

WA

NT

TO

HA

VE

TO

PRIORITY

TIME

Text in grey indicates example

Goal: Maintain current lifestyle, $100K

Resource: $400K in RRIF

Strategy: Short Term Conservative Income Portfolio

Goal: Grow assets for future lifestyle

Resource: $600K in cash account

Strategy: Global Growth Portfolio

7

Reviewing your Strategies (2)

Goals/ Objectives

Maintain current lifestyle $100K

Grow assets for future lifestyle

Resources $400K $600K

Strategies/

Investment

Portfolios

Short Term Conservative Income Portfolio

Global Growth Portfolio

Text in grey indicates example

8

Product Overview

9

Product Sheets

9

Investment Policy Statement

10

11

Client Reporting

Client Statements

12

13

Next Steps

14

Next Steps Worksheet

Priority Next Steps

1. 1.

2.

3.

4.

Example

SEI Tools and Resources to Help Develop Your Client Review All materials are end investor approved unless otherwise stated

Data SEI Tools/Resources

Client Investment Objectives and Portfolio allocation

Portfolios IPS

Asset Allocation Fund IPS

Client Specific Returns and Market Values Statement of Value and Activity

Advisor Account Lookup

Client Market Values and Transactions Statement of Value and Activity

Advisor Account Lookup

Strategy/Product Returns, Commentary and Market Overview

Program Brochures

Program Overviews

Portfolio/Fund Descriptions

Portfolio/Fund Performance

Participating Managers Booklet

Quarterly Investment Review (pdf – advisor approved only)

Manager Changes

15

16

Disclosure Information

To determine if a Fund is an appropriate investment for you, carefully consider the Fund’s investment objectives, risk factors and charges and expenses before investing. This and other information can be found in the Fund’s prospectus.

Commissions, trailing commissions, management fees and expenses all may be associated with mutual fund investments. Please read the prospectus of the SEI mutual fund before investing in them or asset allocation services that invests in the funds. Mutual funds are not guaranteed, their values change frequently and past performance may not be repeated.

This material represents an assessment at a specific point in time and is not intended to be a forecast of future events, or a guarantee of future results. There is no assurance the goals of the strategies discussed will be met. Holdings are subject to change.

This information should not be relied upon by the reader as research or investment advice. This information is for educational purposes only. SEI claims no responsibility for the accuracy or reliability of the data provided.