SPECIFIED OUTCOMES IN A PREDETERMINED TIMEFRAME

Defined Outcome Solutions

Defined outcome solutions empower advisors to build investments with pre-defined return and risk profiles. Available as individual structured notes, market-linked CDs, yield-based separately managed accounts (SMAs) and ’40-Act funds, these solutions include features such as principal protection, increased yield, and enhanced return, allowing for use across a wide range of investors and investment objectives.

Menu of Defined Outcome Solutions

STRUCTURED PRODUCTS

Axio from iCapital works with the largest assortment of investment grade banks to create a wide range of customizable structured notes and certificates of deposit designed to help financial advisors customize investments to best align with market views and meet specific needs in client portfolios.

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smas

SEPARATELY MANAGED ACCOUNTS (SMAs)

Our defined outcome strategies SMAs provide professionally managed, diversified exposure to income-focused structured notes without requiring single product purchases or life cycle management. This allows advisors to better scale structured notes across a wider array of clients without worrying about the investment and operational complexities that come with individual notes. Our SMA solution won Structured Retail Products’ “Most Innovative Product” for North and South America in 2021.

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m+ funds

Our defined outcome ’40-Act funds provide daily liquidity at NAV and are offered on both a monthly and customized basis without credit risk. These funds can provide enhanced upside participation, buffered downside, or partial or full principal protection at maturity with greater certainty of investment results.

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Compare Defined Outcome Solutions

  Structured Products SMAs m+ funds (UITs)
Investment Minimum $1,000 $100,000 None
Portfolio Management NA Active Passive
Fiduciary No Yes Yes
Term Defined maturity Continuous Defined maturity
Liquidity Secondary market provided by issuing bank or third-party provider. Secondary market provided by issuing bank or third-party provider. Daily at NAV. Not exchange listed.
Transparency of Fees & Assets Low High High
Market Risk Yes Yes Yes
Issuer Credit Risk Yes Yes, but diversified among multiple issuers. No
Publicly Available NAVs or Values No* No* Yes

* Structured notes and SMAs provide publicly available secondary values that appear daily on client statements.

  Structured Products
Investment Minimum $1,000
Portfolio Management NA
Fiduciary No
Term Defined maturity
Liquidity Secondary market provided by issuing bank or third-party provider.
Transparency of Fees & Assets Low
Market Risk Yes
Issuer Credit Risk Yes
Publicly Available NAVs or Values No*

* Structured notes and SMAs provide publicly available secondary values that appear daily on client statements.

  SMAs
Investment Minimum $100,000
Portfolio Management Active
Fiduciary Yes
Term Continuous
Liquidity Secondary market provided by issuing bank or third-party provider.
Transparency of Fees & Assets High
Market Risk Yes
Issuer Credit Risk Yes, but diversified among multiple issuers.
Publicly Available NAVs or Values No*

* Structured notes and SMAs provide publicly available secondary values that appear daily on client statements.

  m+ funds (UITs)
Investment Minimum None
Portfolio Management Passive
Fiduciary Yes
Term Defined maturity
Liquidity Daily at NAV. Not exchange listed.
Transparency of Fees & Assets High
Market Risk Yes
Issuer Credit Risk No
Publicly Available NAVs or Values Yes

* Structured notes and SMAs provide publicly available secondary values that appear daily on client statements.

To learn more about Axio from iCapital defined outcome solutions:

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Alternative investment products and services offered by iCapital Securites, LLC, a registered broker-dealer, member of FINRA and SIPC, and subsidiary of iCapital, Inc. Defined Outcome Solution products and services offered by Axio Financial LLC, a registered broker-dealer, member of FINRA and SIPC, and subsidiary of iCapital, Inc.

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