| FUND AND PORTFOLIO MANAGER |
NUMBER OF ACCOUNTS |
ASSETS MANAGED
(in millions) |
NUMBER OF
ACCOUNTS
WHERE ADVISORY FEE IS BASED ON ACCOUNT PERFORMANCE |
TOTAL ASSETS IN
ACCOUNTS WHERE ADVISORY FEE IS BASED ON ACCOUNT PERFORMANCE (in millions) |
| Alpha Capture Value ETF | ||||
| Thomas S. Simon(2) |
|
|
|
|
| Other Registered Investment Companies |
10 |
$11,286 |
0 |
$0 |
| Other Pooled Investment Vehicles |
16 |
$1,710 |
1 |
$1,399 |
| Other Accounts |
5 |
$2,246 |
1 |
$2,195 |
| FUND |
BENCHMARK(S) / PEER GROUPS FOR INCENTIVE PERIOD(1) |
| Alpha Capture Value ETF |
Russell 1000 Value Index / Lipper Large Cap Value |
| PORTFOLIO MANAGER |
FUND(S) SUB-ADVISED |
DOLLAR RANGE OF EQUITY SECURITIES
BENEFICIALLY OWNED |
| Thomas S. Simon(2) |
Alpha Capture Value ETF |
None |