Advisor Flipbooks

© 2023 SEI For financial intermediary use only. Not for public distribution. 5 There are specific account minimums that are required for a Gateway Manager to be included in the account. Consult the current SEI Gateway Manager Program Disclosure document for the manager minimums. Investment Strategy Allocation Changes A self-service "Modify Investment Assignment" action is available on SEIAdvisorCenter.com to change the asset allocation or manager allocations within an account. The account will be reallocated to the requested percentages, and the new allocation will be held as the Investor's target strategy until notified otherwise. For Sub Advised accounts established prior to the launch of the SEI Gateway Program a client signature will be required at the initial change into a Gateway Manager. All SEI Gateway Managers will be annotated as "Gateway" in the technology tools SEI provides. If there is no annotation on a Third Party Separate Account Manager in the tools, the manager is part of the SEI Managed Account Solutions program. Registered Advisor Change Process Only SEI Gateway Manager Program registered firms have access to managers within the Gateway Program. If an Advisor is moving from a firm that currently participates in the Gateway Program to a firm that does not participate, they will not be permitted to use any existing Gateway Program offering on any new accounts they manage. In addition, if you attempt to move an account to the new firm that does not participate in the Gateway Program, you will be required to terminate management on any portfolios associated with a Gateway Manager prior to completing the Broker Dealer/RIA Change process. Please contact your Sales Representative for any further questions around converting programs. In-Kind Distributions and In-Kind Closings Internal transfers (SPTC account to SPTC account) For accounts moving from one SEI registered firm to a new SEI registered firm, and the firm receiving the account with an active Gateway Manager is not enrolled in the Gateway Program, the firm will be required to terminate management on any active Gateway Manager portfolio before any assets can be moved . Firm's that do not participate in the Gateway Program are not permitted to maintain active management of an existing portfolio under a Gateway Manager. Risk Rating in SEI Technology The investment strategy risk score represents our approach to determining the risk of an investment strategy that an advisor is proposing to a client. Each Gateway Strategy will be assigned into a risk category of low, medium or high. Each risk category corresponds with the expected investment risk for the proposed allocation. The risk category directly incorporates SEI's Capital Market Assumptions (CMAs) as developed by SEI's Investment Management Unit (IMU). The CMAs provide forward-looking estimates of

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