Serving Time

Advent Software o San Francisco, California o 800-685-7688 o www.advent.com

Axys

NA

NA

Windows 98/NT

Used for portfolio management, accounting and reporting; a component of Advent Office, Axys elevates the clarity and efficiency of daily operations. Special features include multi-currency capabilities, variable rate securities processing; AIMR compliance.

Advisory World o Encino, California o 800-480-3888 o www.advisoryworld.com

Analytics

NA

$120/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Reviews and analyzes historical portfolio and security performance, historical cumulative and monthly performance, factor and style analysis, performance relative to an index (alpha and beta), risk/return characteristics and many other options; reviews how portfolios or securities perform in any economic environment independently and relative to any other security or index. Finds securities that match or exceed the performance characteristics established for portfolio benchmarks. Databases available for asset classes, mutual funds, stocks, variable annuities, and closed-end funds. Integrated with other Wilson programs for optimization and performance review.

Financial Planning

NA

$99/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Module determines if any portfolio will achieve client’s objective. Detailed time-weighted cash flow. Parameters include: portfolio value, income required, portfolio ROR, portfolio yield, inflation, turnover ratio, age at objective, years in retirement, Social Security, money left to heirs/charity, pension annuity, Roth, or deferred income, income tax, capital gains tax, percent tax-deferred, quarterly, semi-annual or annual rebalancing. Portfolio solutions include portfolio value at objective, portfolio value needed at objective, net income shortfall/surplus, lump-sum, annual, or monthly contributions.

PowerPlus

$395

$864/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Combines all features of financial planning, multi-security asset allocation, security analysis and information, asset class, and mutual fund databases. Creates user-defined security databases: specify individual security taxability, income and capital gains taxes, turnover ratio, management fees and yields; runs hypotheticals from 1968-present, optimizes up to 999 portfolios, finds assets that will enhance portfolio return and/or reduce volatility, finds securities that match or exceed performance characteristics established for portfolio benchmarks, determines if college or retirement objectives will be met, reviews detailed time-weighted cash flows.

Ramcap

$395

$400/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM Windows 3.1,

Same as POWER PLUS (above), plus compares portfolios side-by-side; runs hypotheticals from 1968 to present; optimizes portfolio mix; reviews forecasted or historical performance; reviews detailed time-weighted cash flows.

Ramcap Plus

$395

$624/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Same as RAMCAP (above), plus runs hypotheticals from 1968 to present; optimizes portfolio mix; finds assets that will enhance portfolio return and/or reduce volatility; determines if college or retirement objectives will be met.

ScanData

NA

$60/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Sorts and reviews over 180 fields of information on asset classes, mutual funds, stocks, variable annuities and closed-end funds. Information includes assets under management, historical performance, ranking among all funds and peer groups, P/E ratios, front-end loads, portfolio holdings and MPT statistics, dividends, P/E and P/B ratios as well as analyst’s estimated earnings. Finds all funds or securities that meet any set of criteria such as size, time in business, rates of return, beta, and r-squared. Integrated with other Wilson programs for optimization and performance review.

XPress

NA

$160/year; discounted pricing available to some firms

Pentium-100MHz, 16MB RAM, 40MB hard disk space, CD-ROM, Windows 3.1

Allows users to build or optimize portfolios using a database of 60 asset classes. Reviews information on mutual funds, stocks, VAs, and closed-end funds. Investment Policy Statement is NASD compliant.

Captools Co. o Issaquah, Washington o 800-826-8082 o www.captools.com

Captool Professional Investor

$1,999

$800/year

Pentium-400MHz, 100MB hard disk space, 128MB RAM, Windows 95

Tracks client?s investments and offers flexible reporting with graphics in a single component package. Computes before- and after-tax return figures for aggregate portfolios, individual portfolios, groupings of assets, and individual securities. Client transactional data can be imported from over 45 broker/dealers at no additional cost. Special features include after-tax performance reporting; no-additional-charge B/D interface imports; taxable cost basis tracking with wash sale rule support; e-mail/Web report delivery; customizable reports with graphics; pooled/hedge fund accounting and reporting; no additional charge contact management components.

CheckFree Investment Services (formerly the Mobius Group) o Jersey City, New Jersey o 800-437-2997 o www.checkfree.com

M-Search Investment Manager Database

$5,500+

NA

Pentium-400MHz, 100MB hard disk space, 128MB RAM, Windows 95

Comprehensive data on 1,300+ investment management firms and 5,500 composites; conducts manager searches and evaluations; performs competitive analysis and market research; creates custom reports. Special features include ability to download the latest monthly and/or quarterly manager and index data on a daily basis; access to participating manager?s live Web sites; presentation studio helps design custom reports; copy data-views and report pages from M-Search to clipboard for use in other software applications.

APL-ASP

$750+/month

NA

Pentium, Internet access, printer

Enables RIAs to automate operations via the Internet; front end offers extensive trading and reporting functionality; enables managers to maintain accounts, tax lots, and performance; includes DTC and custodian interfaces, help desk support and training. All-inclusive package offers trading system, investment accounts system for reporting and performance, billing system, and contact management system.

Cheshire Software o Newton Highlands, Massachusetts o 800-734-6734 o www.cheshire.com

Cheshire Asset Allocation Planner

$499

$150/year

Pentium, 32MB RAM, 20MB hard disk space, Windows 95

Allows examination of client’s current investment portfolio to determine optimal asset mix based on risk tolerance and time frame; contains risk tolerance questionnaire; includes historical data and allows users to input unlimited additional asset categories using historical expected returns; constructs efficient frontier curves with max/min constraints. Special features include ability to add an unlimited number of asset classes and construct efficient-frontier with those assets; ability to import historical return data from Morningstar.

Client Marketing Systems Inc. o Pismo Beach, California o 800-799-4267 o www.advisorsassistant.com

Advisors Assistant

$798+

$298+/year

Pentium, 64MB RAM, Windows 95/NT

Complete contact management, portfolio management, and insurance tracking software; calculates time- and dollar-weighted rates of return; provides consolidated reports and color graphs; automatically downloads from DST and others; exports to and imports from Palm PCs; includes calendar, dialer, e-mail, Web site hotlinks, free 800-line support. Special features include integration with Word, Excel, Outlook, hand-held computers, and Principia Pro; producer level security, insurance commission tracking, mail merge, and broadcast e-mail.

CMS BondEdge o Los Angeles, California o 310-479-9715 o www.cmsbondedge.com

BondEdge

NA

NA

Pentium, 32MB RAM, 500MB hard disk space, Internet access, Windows 3.1

Fixed-income portfolio analytics system that manages risk and return; includes MBS analytics, pre-trade compliance monitoring, municipal and money market capabilities, performance attribution, total return optimization, global data and reporting, ABS pre-payment model, return simulation, OAS, dynamic cash flow analysis, regulatory compliance, index comparison, performance measurement, key-rate durations, custom reports and graphs; program can import/export to accounting and assert/liability systems. Special features include quantitative risk analysis, global data and reporting, benchmark comparisons, portfolio optimization, performance attribution, complete bond data coverage, enterprise solutions, and integrated Internet technology.

The Consortium o Camarillo, California o 805-987-6115 o www.liftburden.com

RIA Written Supervisory Procedures

$300

NA

Microsoft Word or WordPerfect

Creates custom RIA-written supervisory policies and procedures; contains sample policies for user to pick from and modify.

RIA Client Advisory Agreement

$125

NA

Microsoft Word or WordPerfect

Allows user to create custom client advisory agreement; contains sample terms and conditions.

RIA Solicitors Agreement and Disclosures

$150

NA

Microsoft Word

Creates solicitors’ agreements, client compensation disclosures, and client acknowledgements. Forms and compliance instructions included.

New Account Form/Client Suitability Questionnaire

$35

NA

Microsoft Word

Client data gathering form for use by broker/dealers or RIAs; basic suitability “know your customer.”

Blotters and

Logs

$30

NA

Microsoft Word

Daily blotter, client-holding log, product cross-reference log for B/Ds or RIAs. (Three-form set)

Investment Policy Statement

$35

NA

Microsoft Word

Creates investment policy statement.

Report of Access Persons Securities Transactions

$20

NA

Microsoft Word

Quarterly report of access person?s personal securities transactions and holding log. (Two-form set).

Decisioneering Inc. o Denver, Colorado o 800-289-2550 o www.crystalball.com

Crystal Ball Advi$or

$495

NA

Pentium, 16MB RAM, 5MB hard disk space, CD-ROM, Windows 95/NT, Excel 97

Wizard-based Excel add-in provides financial planners and wealth management advisors with Monte Carlo simulation, multi-period portfolio allocation and optimization, decision analysis, and scenario reporting; provides ability to project worth of client portfolios and evaluate probability of achieving wealth and retirement goals. Special features include a complete Monte Carlo-based assets, liabilities, and needs analysis; path-based portfolio optimization; portfolio modeling based on risk profiling, model portfolios, and custom portfolios.

Eagle Investment Systems Corp. o Newton, Massachusetts o 800-810-3819 o www.eagleinvsys.com

Eagle Star

NA

NA

Pentium, Sun servers, Sun workstations, Solaris, Windows 95/NT

Web-based investment accounting system designed to support global operations; scalable to more than one million transactions an hour; supports accounting requirements of mutual funds, hedge funds, retirement plan sponsors, banks, and corporate trusts. Thin-client architecture allows software to run on intranet or the Internet.

Eagle Pace

NA

NA

Pentium, Sun servers, Sun workstations, Solaris, Windows 95/NT

Web-based data-centric investment portfolio management system integrates and automates front-, middle-, and back-office functions to provide straight-through processing capabilities. Includes fully integrated performance measurement and performance attribution calculation desk, report design and distribution capability, and Web-based portal facilitating portfolio management from wireless devices.

E-Z Data Inc. o Pasadena, California o 800-777-9188 o www.ez-data.com

CDS/Investment Package

$1,497

$960/year

Pentium-400MHz, 64MB RAM, 500MB hard disk space, Windows 95/NT/ME

Electronic interfaces with and downloads from DST, PFPC. Pershing, NFSC, more; complete contact management system, policy and investment tracking, automatic journaling of client events, e.g., discussion notes, letters, investment transactions, call appointments, etc. Special features include portfolio management and investment tracking utilizing Modified Dietz Method; time-weighted returns are calculated on a monthly basis and linked to derive quarterly, yearly, and any specified period returns.

Financial Computer Support Inc. o Oakland, Maryland o 800-432-2267 o www.dbcams.com

dbCAMS+

$3,345

1st year included, annual thereafter

Pentium III-500MHz, 64MB RAM, 4GB hard disk space, CD-ROM, Internet access, ink-jet printer, Windows 98/NT

Practice management solution offers integrated contact management, billing and invoicing, electronic interfaces with multiple transaction vendors and financial planning packages, and financial reporting. Special features include custom report writer; performance reporting; consolidated/historical reporting; numerous electronic interfaces at no charge.

Financial Planning Consultants Inc. o Middletown, Ohio o 800-666-1656 o www.financialsoftware.com

ProPlan

$795

$95+/month

Pentium, 64MB RAM, 100MB hard disk space, laser printer recommended, Windows 95

Comprehensive financial planning software shows 10 years of detailed cash flow, tax, and net worth for normal and disabled—either spouse. Excel graphics output calculates planning cost benefits analysis.

Global Investment Systems o Hackensack, New Jersey o 201-996-9300 o www.gisltd.com

IMPACT 2

$30,000+

Included

Pentium III-350MHz, 120MB RAM, 100MB hard disk space, Windows 98/NT

Provides a high level of automation, combining user flexibility with strong operational controls; offers securities accounting including derivatives; asset allocation and portfolio modeling; trade and order management; MBS paydown processing; broker commission accounting; client billing and reporting; automated custodian reconciliation; AIMR-compliant performance measurement; multi-currency processing; interfaces with various pricing/data services. Special features include user-defined toolbar; direct e-mail capabilities; reminder calendar; user-defined color settings.

Ibbotson Associates o Chicago, Illinois o 800-758-3557 o www.ibbotson.com

Portfolio Strategist

$1,450

$800/year

486MHz, 16MB RAM for Windows 95, 32MB RAM for Windows NT, 50MB hard disk space, VGA or SVGA graphics card, CD-ROM, Windows 95

Asset allocation investment planning software that utilizes cash flow analysis and Monte Carlo simulation to help build better portfolios; helps clients implement asset class portfolio to mutual funds or variable annuity subaccounts. Special features include Monte Carlo and Roth IRA modeling; Social Security modeling; annuity modeling; security classifier. Fund optimizer allows users to allocate to funds or variable annuity subaccounts.

Indata o San Diego, California o 888-454-4060 o www.indataweb.com

I.M.S. for Windows, and INDATA Online

Licensing fee & recurring maintenance

Varies

Acrobat Reader, Internet Explorer 5.5, Windows 2000

I.M.S.: Includes portfolio management, trade order management, performance measurement and attribution, client reporting and billing; supports DTC interface; FIX connectivity and multiple interfaces; includes common SQL server database platform for front- to back-office. INDATA online: AIMR and GIPS standard reporting and client presentation quality graphical reporting tools.

Investment Technologies o New York, New York o 212-724-4384 o www.investmenttechnologies.com

The Wealth Advisor Platform

Varies

NA

Internet Explorer, Windows 95/NT

Delivers institutions tailored investment advisory services in open architecture; includes advice and wealth management for multiple tax-deferred and taxable accounting types; financial products and investment goals for multiple customer segments. Special features include mean variance optimization; Monte Carlo simulation; behavioral-finance-based risk assessment; returns-based style analysis; for the retirement market, advice engine provides asset class portfolios and Product Fund Filter technology to identify funds while staying within DOL advice “safe harbor”; online service delivery.

The Risk Advisor

$150/analysis; $1,000 one-time setup fee

NA

Internet Explorer, Windows 95/NT

Identifies investor’s risk tolerance, then uses Monte Carlo simulation and behavioral finance tools to recommend an asset allocation exactly matched to risk level. Online and desktop versions available.

Money Tree Software o Philomath, Oregon o 877-421-9815 o www.moneytree.com

Money Tools

$750

$250/year

Pentium II-250MHz, 32MB RAM, 16MB hard disk space, Windows 95/NT

Includes portfolio management, (client portfolio reports, price downloads, etc) contact management, (mail merge letters, search and sort, contact notes, etc.) and practice management, (calendar, task/to-do lit, maturities reports, e-mail, etc.). Fully integrated with Money Tree Suite financial planning programs (Easy Money, Golden Years, Retirement Solutions).

National Datamax o San Diego, California o 888-673-4180 o www.nationaldatamax.com

Prosource Premier

$1,299 single; $1,899 network

$109/month single; $125+/month network

Pentium, 64MB RAM, 200MB hard disk space, CD-ROM, Internet access, color printer, Windows 95.’

Acts as a contact and portfolio management system. Downloads client transactions and positions from different sources. Generates performance reports, maturity and expiration reports, and client portfolio reports with presentation-quality graphics. Accesses and updates over 13,000 mutual funds and over 9,000 variable annuities.

Variable Annuity Manager

$50

$25/month

Pentium, 32MB RAM, 50MB hard disk space, CD-ROM, Internet access, color printer, Windows 95

Provides full-color graphic reports for clients seeking clear performance history; S&P Micropal provides data on over 9,000 variable life and annuity subaccounts in over 70 data fields.

Stock & Industry Monitor

$50

$40/month

Pentium, 32MB RAM, 50MB hard disk space, CD-ROM, Internet access, color printer, Windows 95

Provides full-color graphic reports including a “build-your-own-report” allowing advisors to select criteria most applicable to their clients’ needs; data provided by Zach’s may be updated monthly or quarterly.

Mutual Fund Manager

$50

$25/month

Pentium, 32MB RAM, 50MB hard disk space, CD-ROM, Internet access, color printer, Windows 95

Provides full-color graphic reports for clients with clear performance data; data is provided by S&P Micropal for over 13,000 equity, bond, and money market funds with more than 70 data fields.

North American Software Inc. o Cincinnati, Ohio o 513-793-2240 o www.nasoftware.com

Investment Advisor’s Helper.com

$1,795

$360

Intranet deployment-MS NT server with MS Internet server software installed, ODBC compliant database, Internet Explorer

Integrated practice support application provides contact, calendar, marketing, mail, document, and portfolio management in either a desktop or browser-based Internet/Intranet mode; includes asset allocation/block trading, portfolio modeling, extensive AIMR-compliant performance, dozens of management and client targeted reports; provides support for several data imports: LPL, Pershing, Prudential/Wexford, PaineWebber, etc. Special features include complete mobility, with access to all support functions from wherever Internet access is available; also includes instant messaging and support of “virtual team”; collaboration from multiple locations.

Performance Technologies o Raleigh, North Carolina o 800-528-9595 o www.centerpiece.com

Centerpiece

$3,495

$750/year

Pentium III, 256MB RAM, 2GB hard disk space, Windows 90/NT/ME

Portfolio management system that combines investment portfolio accounting, client reporting, and performance trading in a networked application; produces customizable client reports, provides decision support tools; imports data automatically from a variety of brokerage firms and mutual fund companies. Special features include eReports/Live on-demand Web-based portfolio reporting capability; ability to exclude unmanaged assets from billing calculations and/or performance calculations; automated interface with Junxure client contact management system; batch printing of reports in PDF format; optional genTrade order generation and management system.

RiskMetrics Group. o New York, New York o 212-981-7401 o www.riskgrades.com

Risk Grades

$1,000/year

NA

Internet Explore 4.5

An investment and wealth management tool designed for use by financial advisors and private banks; allows for apples-to-apples comparison of market risk across all asset classes, indices, and portfolios and helps advisors determine the appropriate investment mix for their client’s specific risk/return profile.

Scherrer Resources Inc. o Fort Washington, Pennsylvania o 215-542-5710 o www.brokersally.com

Broker’s Ally and Advisor’s Ally

$395+

25%/year

Any WinTel PC

Portfolio management software products include integrated database management, customer management, and portfolio reporting tools; each level of these products grows in features based on advisor’s needs. Scalable from single users to multiple users. Runs on notebooks, desktops, LANs, WANs, and via the Internet. Special features include Palm data migration, data feeds from back-office servers, asset class reporting, performance measures, data feeds from interactive data and other pricing services; help desk services and Internet e-mail help; modules for financial planning and bond calculations.

Spectra Securities Software Inc. o Toronto, Ontario, Canada o 800-555-7008 o www.spectrasoftware.com

Spectra Portfolio

$100,000

20%/year

Sun/Solaris servers with Sybase, or NT with SQL 7.0; NT 4 clients, 64MB RAM, 50MB hard disk space

Screens of performance, asset mix, bond duration, cash flow projections and “what-if” analysis; as part of integrated broker desktop, enables brokers to review a customer’s portfolio information and then move to screens in the Spectra Bonds, Spectra equities; and Spectra funds systems. Special features include householding and consolidation of accounts, tracking of “know-your-client” information, mail merge, agenda and to-do list, prospecting and “what-if” analyses, AIMR compliant performance calculations, real-time orders, and various canned reports.

SS&C Technologies o Windsor, Connecticut o 800-234-0556 o www.ssctech.com

CAMRA

Varies

Varies

Windows 98/NT

Investment accounting product, delivers comprehensive front-to-back-office investment management with integrated compliance monitoring, detailed performance measurement, corporate actions, and complete automation of all post-trade processing and reporting; over 150 reports available. Special features include integrated compliance monitoring; detailed performance measurements; corporate accounts and complete automation of all post-trade processing and reporting.

SunGard Expert Solutions (formerly Frontier Analytics) o San Diego, California o 858-552-1268 o www.frontieranalytics.com

Allocation Master

$495

$396/year

Pentium-166MHz, Windows

Provides comprehensive asset allocation planning to clients; links the concepts of modern portfolio theory (MPT) with client’s real-life financial needs and product choices. Special features include risk profiling; portfolio optimization; financial forecasting; product implementation; policy statements; technical support; Monte Carlo Simulation.

TechFi Corp. o Denver, Colorado o 800-298-3863 o www.techfi.com

TechFi Financial Office 2001

$4,500

$150/month

Pentium, 128MB RAM, Windows 98/NT

Integrated suite offers portfolio management, account rebalancing, trade generation, and contact management capabilities. Supports portfolio management for mutual funds, equities, and fixed income; trades may be generated through account rebalancing against model portfolios and communicated electronically to custodians. Special features include mail merge capabilities including calculated performance measurement data; schedule multiple activities at once using Workflow scheduling capabilities.

AdvisorMart.com

$50/account

None

Internet Explorer

Online portfolio management system outsources back-office needs; downloads and reconciles data electronically from custodians, brokerage systems, and fund families daily; advisors have all-hours access to client data; client portfolio and performance reports including color graphs may be created; provides Web-based access for clients to view account and performance data. Special features include comprehensive portfolio management capabilities including performance reporting, management fee billing, system customization, and data edit capabilities.

The U.S. Savings Bonds Consultant o Wall, New Jersey o 800-717-2663 o www.savingsbonds.com

Bond Manager 2000

$129.95+

$29.95/year

Pentium, 64MBRAM, 4MB hard disk space, CD-ROM, and Windows 95

Captures, tracks, values, and analyzes every U.S. savings bond issued since 1941; builds permanent portfolios and provides for individual printouts of savings bond portfolio(s) for each client on demand. Special features include displays exploded bond information in spreadsheet format; can sequence/re-sequence current interest rate column.

WealthMetrics o Chicago, Illinois o 312-920-9930 o www.wealthmetrics.com

WealthMetrics

Call for Prices

NA

Internet access

Web-based investment management and financial planning software; includes a complete database for supporting individual investors’ wealth management, data harvesting, account aggregation, and financial collaboration requirements. Special features include complete net-worth accounting with portfolio and non-portfolio asset and liability record keeping, portfolio management, performance measurement, asset allocation management, comprehensive and modular/life-event wealth planning, and advance reporting and graphing.