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9/10/12

9/10/12. Everyone loves ETFs. Over $139 billion flowing into all U.S. ETFs (1/1/12-10/31/12) ETF trading accounts for 35% to 40% of all exchange volume. Source: Morningstar. Growth of the ETF market. In 1997 the ETF industry was just over $16 billion

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9/10/12

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  1. 9/10/12

  2. Everyone loves ETFs Over $139 billion flowing into all U.S. ETFs (1/1/12-10/31/12) ETF trading accounts for 35% to 40% of all exchange volume Source: Morningstar

  3. Growth of the ETF market • In 1997 the ETF industry was just over $16 billion • The ETF market has grown over 26 fold since • Over $600 billion market today Source: Traderscreen.net

  4. Available ETFstrategies andaccount minimums

  5. Available ETFstrategies andaccount minimums • Active, strategically diversified investment approach • Strategies tailored to meet the platform’s trading and custodial parameters • Another tool to deliver distinguishable, value-added services to your clients * Dynamic fund profiles utilizes re-sampled allocation applied to four Evolution Funds. The available Evolution Funds are: All-Cap; Alternative Investments, Market Leaders & Managed Bond available through Direxion Funds: direxionfunds.com

  6. Schwab ETFs • Low cost index ETFs • Gain exposure to varied market sectors • Diversify investments • Hedge against risk • Add active management These materials have been independently produced by Flexible Plan Investments, Ltd. Flexible Plan Investments, Ltd. is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates ("Schwab"). Schwab is a registered broker-dealer and member SIPC. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. Flexible Plan Investments, Ltd. provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction. Past performance does not guarantee success. Source: Charles Schwab ETF Investor Study, Money Morning staff research

  7. Schwab ETFs offer low expense ratios Expense comparison data for non-Schwab ETFs was obtained from the funds’ prospectuses as of 01/01/11. Comparisons are made between each Schwab ETF and ETFs in the same asset class from the three largest ETF providers. ETFs in the same asset class may track different indexes, have differences in holdings, and show different performance. Expense ratios are subject to change.

  8. Schwab ETFs cover all major asset classes U.S. Broad Market U.S. Large-Cap U.S. Large-Cap Growth U.S. Large-Cap Value U.S. Dividend Equity U.S. Mid-Cap U.S. Small-Cap U.S. REIT International Equity International Small-Cap Equity Emerging Markets Equity U.S. Aggregate Bond Short-Term U.S. Treasury Intermediate-Term U.S. Treasury U.S. TIPS

  9. Rotational No-load ETFBalanced Hypothetical research report (1/1/98 – 9/30/12) Initial investment of $150,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’98 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  10. Rotational No-load ETFBalanced (NLETF) NASDAQ Composite Hypothetical research report (1/1/98 – 9/30/12) Initial investment of $150,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’98 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A Maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  11. Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’96 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request. SUITABILITY PROFILES

  12. Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’96 – Sept ’12. Walk forward back-tested results. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request. 1. Source: Invesco RIA White Paper Development 20122. Source: SSgA Report Highlights Continued Concerns About Tail Risk Events Among Institutional Investors, as of Sept. 27, 2012 SUITABILITY PROFILES

  13. Market Leaders Strategic ETFBalanced Hypothetical research report (1/1/98 – 9/30/12) Initial investment of $150,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’98 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  14. Market Leaders Strategic ETFBalanced (ES) NASDAQ Composite Hypothetical research report (1/1/98 – 9/30/12) Initial investment of $150,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’98 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A Maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  15. Diversification using Absolute Return Strategies vs Asset Allocation

  16. Multi-Strategy Portfolios (MSP)Fund universe Dynamic Fund Profiles Aggressive Dynamic Fund Profiles Balanced Dynamic Fund Profiles Conservative Dynamic Fund Profiles Growth Dynamic Fund Profiles Moderate Market Leaders Strategic Managed 100 Market Leaders Strategic Managed 25 Market Leaders Strategic Managed 40 Market Leaders Strategic Managed 60 Market Leaders Strategic Managed 80 ML Strategic/ALT EMF Aggressive ML Strategic/ALT EMF Balanced ML Strategic/ALT EMF Conservative ML Strategic/ALT EMF Growth ML Strategic/ALT EMF Moderate Managed Bond EMF Select Alternatives Alternatives EMF Bear Necessities Best Tech Classic Managed Income Aggressive Managed Income Volatility Adjusted NASDAQ Political Seasonality Index Sector Select Self-adjusting Trend Following Systematic Advantage Systematic Long/Short Bond Trading Contrarian S&P Trading Strategic High Yield Bond Third Day Tactical Blend Balanced Gold Equities Trading Disciplined Management S&P Tactical Patterns

  17. Multi-Strategy Portfolios (MSP) Growth Capital Market Line Analysis (1/1/01 – 9/30/12)Hypothetical initial investment of $150,000 • Available for accounts > $25,000 • Blended portfolios utilizing 5-10 strategies chosen from a universe of dozens of actively managed strategies • Five suitability profiles • Traded daily Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’01 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  18. Multi-Strategy Portfolios (MSP) Growth Hypothetical research report (1/1/01–9/30/12) Initial investment of $150,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) Jan ’01 – Sept ’12. Walk forward back-tested returns shown are net of 2.6% management fee. A Maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding twelve months is available upon written request.

  19. Beginning January 1st Design your own Multi-Strategy Portfolios (MSP) SUITABILITY-BASED STRATEGIES Dynamic Fund Profiles Aggressive Dynamic Fund Profiles Balanced Dynamic Fund Profiles Conservative Dynamic Fund Profiles Growth Dynamic Fund Profiles Moderate Market Leaders Strategic Managed 100 Market Leaders Strategic Managed 25 Market Leaders Strategic Managed 40 Market Leaders Strategic Managed 60 Market Leaders Strategic Managed 80 ML Strategic/ALT EMF Aggressive ML Strategic/ALT EMF Balanced ML Strategic/ALT EMF Conservative ML Strategic/ALT EMF Growth ML Strategic/ALT EMF Moderate FUND UNIVERSE Alternatives EMF Bear Necessities Best Tech Classic Managed Bond EMF Managed Income Aggressive Political Seasonality Index S&P Tactical Patterns Sector Select Self-adjusting Trend Following Systematic Advantage Systematic Long/Short Bond Trading Strategic High Yield Bond Third Day Tactical Blend Balanced Volatility Adjusted NASDAQ

  20. Evolution Managed Funds Fee Credits at Schwab *Take advantage of our 45 bps fee credit. Flexible Plan bills accounts in arrears (after commencement of management). Therefore, if the account earns more, we all make more. Conversely, if the account earns less, we are paid less.

  21. Evolution Managed Funds Fee Credits at Schwab *Take advantage of our 45 bps fee credit. Flexible Plan bills accounts in arrears (after commencement of management). Therefore, if the account earns more, we all make more. Conversely, if the account earns less, we are paid less.

  22. 3 easy ways to illustrate to clients • Illustration Generator • Research Report • OnTarget Proposal

  23. http://landing.direxionfunds.com/evolution

  24. These materials have been independently produced by Flexible Plan Investments, Ltd. Flexible Plan Investments is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates. Schwab is a registered broker-dealer and member SIPC. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. Flexible Plan Investments provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction. The maximum current management fee in effect is 1.0% annually. A solicitation fee to the financial advisor of up to an additional 1.6% may be added. Fees are deducted quarterly, in arrears with pro-ration of partial periods. An establishment fee of up to a 1.2% may also be charged on accounts greater than $25,000. A non-refundable set-up fee of the lesser of 3% or $350 will be charged on small accounts ($5000 up to $24,999.) No portion of the set-up fee is paid to the Solicitor. All mutual fund fees and expenses are included to the extent they are reflected in net asset value; other fees may apply. On accounts greater than $150,000 utilizing the Market Leaders Strategic (Load ETFs), commissions of at least $8.95 per trade will be charged in addition to the management, solicitation and establishment fees.

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