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
  Investment Minimum ETFs Mutual Funds Individual Securities Tax Aware Models
Lockwood Flexible Unified Managed Account (UMA)
The Lockwood Flexible UMA offers a diversified, multi-asset portfolio, consolidating separately managed account strategies (SMAs), third-party model portfolios, Lockwood discretionary model strategies, mutual funds and exchange-traded funds (ETFs) into one account.
$50,000 X X X  
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 (≈ 40 managers and 80 strategies) and open architecture (≈ 130 managers representing 470 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 August 31, 2021. 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
Block Rock
First Trust
Goldman Sachs
Morning Star
New Frontier
Russell Inv
Wisdom Tree

*One of the model providers available to advisors through the Lockwood advised programs is WisdomTree Asset Management, Inc. (“WisdomTree”). WisdomTree, independent from Lockwood, chooses the funds to include in its models and for proprietary funds also selects the subadvisers. Some of the WisdomTree Funds (“Funds”) available within their models are subadvised by Mellon Investments Corporation (“Mellon”). Mellon is an affiliate of Lockwood and is paid a fee by WisdomTree to provide advisory services to the Funds.

Important Investment Solutions Disclosures [PDF]

As of August 31, 2021. 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 2019 [PDF], Q2 2019 [PDF], Q3 2019 [PDF], Q4 2019 [PDF], Q1 2020 [PDF], Q2 2020 [PDF], Q3 2020 [PDF], Q4 2020 [PDF], Q1 2021 [PDF], Q2 2021 [PDF], Q3 2021 [PDF] & Q4 2021 [PDF]  |  Lockwood's Form ADV Part 2 Brochures   |  Lockwood’s Form CRS [PDF]

Featured Solutions and Resources