Independent, Conflict-free* Investment Advice Is Lockwood’s Cornerstone

Lockwood’s broad range of solutions enables financial professionals to outsource parts
of the investment process, resulting in more time to spend with their clients and prospects.

A Diverse Range of Investment Solutions

Backed by research on the markets and due diligence on investment managers across the industry, Lockwood has developed a diverse range of investment solutions for financial professionals and their investors.

Mutual Fund and Exchange-Traded Fund (ETF) Wrap Accounts

The managed account legacy extends back to 1975 when Jim Lockwood created the first wrap account. We continue to innovate today with a series of holistic investment solutions designed to span for investors starting out through those living in retirement.

$10,000 Minimum

Lockwood / American Funds Core Portfolios

Investor Type
Emerging & mass affluent

Number of Holdings
10 to 15

Eligible Investments
American Funds mutual funds and ETFs

Strategies
Appreciation model
Balanced model
Conservative growth model

Description
Combines actively managed American Funds and select ETFs to create an active/passive hybrid portfolio that seeks to provide an efficient and effective investment solution.

$10,000 Minimum

Lockwood WealthStart® Portfolios

Investor Type
Emerging & mass affluent

Number of Holdings
10 to 15

Eligible Investments
Open-end mutual funds and ETFs

Strategies
Six taxable and six tax-deferred models with traditional and non-traditional asset classes.

Description
Multi-manager, multi asset class ETF portfolios managed by Lockwood. The portfolios span the risk spectrum targeting emerging to mass-affluent investors.

$50,000 Minimum

Lockwood AdvisorFlex Portfolios

Investor Type
Mass affluent

Number of Holdings
10 to 15

Eligible Investments
Open-end mutual funds, ETFs, and exchange-traded notes (ETNs)

Strategies
Three objectives-based strategies; 16 models with traditional and non-traditional asset classes

Description
Offers 16 traditional and 16 tax-aware model portfolios across three investment objectives or customize your client's portfolio with a variety of mutual funds and ETFs.

$50,000 Minimum

Lockwood Asset Allocation Portfolios

Investor Type
Mass affluent

Number of Holdings
10 to 15

Eligible Investments
Open-end and closed-end mutual funds, ETFs, and ETNs

Strategies
Five models with traditional asset classes

Description
Offers five core models through more traditional equity and fixed income target risk allocations.

As of December 31, 2017. Offerings are subject to change.

Important Investment Solutions Disclosures [PDF]


Separately Managed Accounts (SMAs)

With two distinct SMA programs, Lockwood helps financial professionals implement thoughtful investment solutions for their investors that best suits their practice.

$100,000 Minimum

Research Covered

Investor Type
High Net Worth

Number of Holdings
Equity Managers: 30 to 80
Fixed Income Managers: 10 to 30
Conservative growth model

Eligible Investments
Individual securities

Strategies
Approximately 60 money managers and 90 investment strategies.

Potential Benefits
Spend more time focused on client conversations, trusting day-to-day investment decisions to us.

Description
A broad universe of SMA investment strategies designed to provide convenient access to dozens of money managers for whom we have the highest research convictions.

Each covered investment strategy undergoes extensive screening and ongoing review. Within our extensive manager research reports, Lockwood provides in-depth information about each manager, including qualitative views on the strategy, the manager's investment process, availability and fees.

$100,000 Minimum

Open Architecture

Investor Type
High Net Worth

Number of Holdings
Equity Managers: 30 to 80
Fixed Income Managers: 10 to 30
Conservative growth model

Eligible Investments
Individual securities

Strategies
Approximately 150 money managers, representing more than 500 investment strategies.

Potential Benefits
Build diversified portfolios from a range of solutions to meet client needs across the spectrum.

Description
Lockwood’s open architecture program is designed to provide financial professionals with options beyond our research covered managers to help build investor portfolios with increased flexibility and access to more SMA investment strategies.

As of December 31, 2017. Offerings are subject to change.

Important Investment Solutions Disclosures [PDF]


Third-Party Strategists

Many asset management firms have developed broadly diversified models and strategies. Serving as investment manager, Lockwood has engaged with these firms to expand its lineup of investment options available.

AlphaSimplex logo

Model

ASG Risk-Efficient Portfolios

Blackrock logo

Models

Blackrock Target Income Portfolios, Blackrock Long-Horizon Allocation ETF Portfolio Strategies

Calvert logo

Model

Calvert Responsible Portfolios

Invesco logo

Model

Invesco Multi-Asset ETF Portfolios

Loring Ward logo

Model

Loring Ward DFA Funds Global Portfolios

Morningstar logo

Models

Morningstar Retirement Income Outcome-Based Series, Morningstar Mutual Fund Asset Allocation Series, Morningstar ETF Asset Allocation Series

Russell Investments logo

Models

Russell Model Strategies, Russell Hybrid Model Strategies

Vanguard logo

Model

Vanguard CRSP ETF Strategic Model Portfolios

Important Investment Solutions Disclosures [PDF]


Unified Managed Accounts (UMAs)

UMAs provide a consolidated approach to asset allocation, investment selection, account administration and performance reporting.

$250,000 Minimum

Lockwood Investment Strategies

Investor Type
High Net Worth

Number of Holdings
50 to 250

Eligible Investments
Individual securities, open-end mutual funds, ETFs, ETNs, closed-end mutual funds

Strategies
Five models with traditional asset classes (tax-sensitive versions of each model available); four models with non-traditional asset classes

Description
Lockwood Investment Strategies is a discretionary, multi-discipline managed account product housed in a single portfolio. Serving as the portfolio manager, Lockwood determines the asset allocation and investment vehicles and/or subadvisors.

Five core models span the risk/return spectrum, and the portfolios can be managed with regard to the investor's tax status and tax efficiency. At the investor’s discretion, portfolios may include exposure to non-traditional asset classes designed to reduce overall portfolio volatility.

As of December 31, 2017. Offerings are subject to change.

Important Investment Solutions Disclosures [PDF]

* Conflict-free Investment Advice refers to the implementation of Lockwood’s discretionary portfolios. As a matter of policy, Lockwood does not include proprietary products within those portfolios. For more information about Lockwood and conflicts, please refer to Lockwood’s Form ADV Part 2 Brochures , which can be found on the Investment Adviser Public Disclosure website .

Share this page:  LinkedIn  |  Twitter  |  Facebook  |  Email  |  Print

Wish You Had More Time to Spend with Clients? We Can Help.

Contact Us

COMMENTARY

QUESTIONS?