Lockwood Managed Account Solutions

Lockwood Investment Advisory Solutions

Lockwood Managed Account Solutions represent a diverse suite of investment advisory solutions backed by research on markets and due diligence on managers and investment vehicles from across the industry. Choose from separately managed accounts, fixed and flexible mutual fund/exchange-traded fund (ETF) wrap offerings, third-party strategist models and a unified managed account offering.

A Diverse Range of Investment Solutions
Lockwood Portfolios Investment Minimum ETFs Mutual Funds Individual Securities Tax Aware Models
Lockwood WealthStart® Portfolios
Six taxable/six tax-deferred models with traditional and non-traditional asset classes
$10,000 X     X
Lockwood/American Funds Core Portfolios
Appreciation, balanced and conservative growth models
$10,000 X X    
Lockwood Asset Allocation Portfolios
Five core models with traditional asset classes
$50,000 X X    
Lockwood AdvisorFlex Portfolios
Three objectives-based strategies; 16 models with traditional and non-traditional asset classes
$50,000 X X   X
Lockwood Separately Managed Accounts1
Research covered (≈ 60 managers and 90 strategies) and open architecture (≈ 150 managers representing 500+ strategies)
$100,000     X  
Lockwood Investment Strategies
Models with only traditional asset classes and also with non-traditional asset classes (tax-sensitive models for each also available)
$250,000 X X X X
Lockwood Offshore Asset Allocation Portfolios2 - For Non-U.S. Investors only
Globally diversified, multi-manager UCITS (comprised of offshore ETFs/mutual funds) wrap accounts managed by Lockwood and available exclusively for non-U.S investors served by U.S regulated firms. Eleven, risk-based portfolios span the risk spectrum initially targeting investors from Mexico, Argentina and Brazil.*
$50,000 X X    

As of May 31, 2019. Offerings are subject to change.

Important Investment Solutions Disclosures [PDF]

* Other jurisdictions may be added subject to a review of local legal and regulatory requirements and potential investor demand.

1 Separately Managed Accounts may be managed by Lockwood or a third-party, depending on the program.

2 This Program contains UCITS that are not registered in the United States and are not available to United States Residents. This is not a recommendation, offer or solicitation to buy or sell any securities or to adopt any investment strategy. The UCITS in the Program referenced have not and will not be registered in Mexico, Argentina, or Brazil and are not, and may not be, offered in any countries except to the extent that the offer is compliant with the regulations governing private placements under the securities laws of the country of residence of the investor. Any investor in this program must be a qualified or accredited investor as defined by their country of residence and eligible under applicable law to invest in an unregistered security. Investment professionals must insure that their activities comply with all applicable laws in the jurisdiction of each investor.

Lockwood's Third Party Strategists Offering
Alpha
Block Rock
Calvert
First Trust
Goldman Sachs
Investco
JP Morgan
Loring Ward
Morning Star
New Frontier
Russell Inv
Vangard
Wisdom Tree

*Certain WisdomTree funds contained within their models portfolios are sub-advised by Mellon Investments Corporation, an affiliate of Lockwood Advisors, Inc. Please see important disclosures and Lockwood’s Form ADV for information about conflicts and rebates of fees for those funds.

Important Investment Solutions Disclosures [PDF]

As of May 31, 2019. Offerings are subject to change.

All third party marks belong to their respective owners.

For professional use only. Not intended for use by the general public. Pershing does not provide investment advice. Professionally managed investment advisory services, if offered, are provided by Lockwood Advisors, Inc. (Lockwood), a Pershing affiliate and an investment adviser registered in the United States under the Investment Advisers Act of 1940. 

Important Disclosures [PDF]  |  SEC Share Class Selection Disclosure [PDF]  |  Trade Away Transactions FAQ [PDF]  |  Trade Away Summary: Q1 2018 [PDF], Q2 2018 [PDF], Q3 2018 [PDF], Q4 2018 [PDF] & Q1 2019 [PDF]  |  Lockwood's Form ADV Part 2 Brochures

Featured Solutions and Resources

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