Swmg Proprietary Strategies

Drawing from our team members’ experiences in institutional investing and front-line corporate executive management, SOUND Wealth Management Group actively manages a number of proprietary strategies that are exclusively offered to SOUND Wealth Management Group clients.

Our discretionary, fee-based, proprietary strategies have been developed over many years, and we apply a rigorous discipline to the management of each individual account. Consistent with the charter for each strategy, SWMG makes all investment decisions based on our independent fundamental, economic, and business analysis. We offer true professional investment management within a wealth management team.

Below you will find a brief overview on the four SOUND Wealth Management Group proprietary strategies.

The All Authority strategy seeks to provide capital appreciation across asset classes, regions, sectors, capitalizations and credit ratings that exhibit the characteristics that, we believe, provide the greatest potential for long-term capital appreciation. The strategy may attempt to capitalize on inefficiencies globally and across multiple styles including, but not limited to, domestic and international equities, domestic and international fixed income, and currencies to generate efficient capital appreciation.

The strategy utilizes qualifiers, but is not limited to, such as: Return on Equity, Free Cash Flow, Price-to-Earnings Growth, Debt, and Private Enterprise Value.

The strategy is non-leveraged, but, from time-to-time, will utilize a covered call strategy in an attempt to provide additional income/total return.

This strategy may be incorporated into your personal investment plan, as appropriate, to address your performance goals and overall investment plan.

The Legato strategy seeks to invest in securities that exhibit the characteristics that, we believe, provide the greatest intrinsic value from markets in the United States and around the world. The strategy utilizes a strict proprietary quantitative, or “quant,” model that the SWMG team has utilized since 2008.

The strategy seeks to provide capital appreciation across regions, sectors and capitalizations.

The strategy is non-leveraged, but, from time-to-time, will utilize a covered call strategy in an attempt to provide additional income/total return.

This strategy may be incorporated into your personal investment plan, as appropriate, to address your performance goals and overall investment plan.

The SWMG Ensemble strategy seeks to invest in equities that exhibit characteristics that, we believe, provide the best opportunity for long-term sustainable businesses with (at least) three years of public market financial data. The portfolio uses a proprietary cash flow model (net of income, depreciation and amortization, and expenditures) to screen companies that generate at least $250 million in free cash flow.

The strategy seeks to provide capital appreciation across countries/regions by investing in individual companies that have a minimum capitalization of $500 million. The SWMG Ensemble Strategy is non-leveraged.

This strategy may be incorporated into your personal investment plan, as appropriate, to address your performance goals and overall investment plan.

The SWMG Vibrato Strategy seeks to provide long-term capital appreciation and current income across multiple assets classes, regions, sectors, capitalizations, and credit ratings that exhibit the characteristics that, we believe, provide long-term value with an emphasis on maintaining a current income yield in excess of the prevailing United States 10 YR Treasury Note. The strategy may attempt to capitalize on inefficiencies globally and across multiple styles, including, but not limited to, domestic and international equities, domestic and international fixed income, and cash and cash alternatives.

The strategy is non-leveraged, but, from time-to-time will utilize a covered call strategy in an attempt to provide additional income/total return.

This strategy may be incorporated into your personal investment plan, as appropriate, to address your performance goals and overall investment plan.

In an Ambassador account clients pay a quarterly fee, based on the level of assets in the account, for the services of a financial advisor as part of an advisory relationship. In deciding to pay a fee rather than commission, clients should understand that the fee may be higher than a commission alternative during periods of lower trading. Clients should periodically re-evaluate whether the use of an asset-based fee continues to be appropriate in servicing their needs. A list of additional considerations, as well as the fee schedule, is available via the Ambassador account agreement as well at the RJA Wrap Fee Program Brochure & Brochure Supplement which will be provided to you. Not intended for use with rollover solicitations. Past performance is not indicative of future results. Investing always involves risk and you may incur a profit or loss. No investment strategy can guarantee success.