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Vicus Capital Staffing Update - Welcoming Katie, Shelby, and other Updates

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Welcome Katie Agostinelli

Advisor Engagement Associate
Katie_White Background

Vicus Capital is pleased to introduce Katie Agostinelli as its new Advisor Engagement Associate. As a key contributor to the Advisor Engagement team, Katie works alongside Derrick Parsons in providing advisors with the tools, services, and solutions they require to maintain and grow their successful investment advisory practices. In supporting advisors’ unique growth initiatives, Katie is instrumental in continuing the firm’s legacy of focusing on strengthening partnerships and encouraging a sense of community among the advisor group. With a strong background in relationship development and management, she is excited to bring her energetic interpersonal skillset to the investment advisory landscape and aid advisors in achieving their goals. Whether strategizing on broader revenue generating opportunities or case planning to address specific client objectives, Katie looks forward to positively impacting the lives of advisors and clients alike.

Katie holds a Master’s and Bachelor’s degree in Human Resources and Employment Relations, as well as a Bachelor of Arts in Spanish, from Pennsylvania State University. She has built her career in the aerospace and defense electronic component industry, most recently as a Channel Marketing Specialist, gaining a strong foundation in understanding people, culture, and organizational operations. Outside of work, Katie enjoys running, hiking with her husband and their German shepherd, Waylon, and baking to support her active lifestyle. She also values time spent with her faith, family, and friends, and is excited to begin this next chapter in her career with Vicus Capital.

Please join us in welcoming Katie to the Vicus Capital family!

Welcome Shelby Woodring

Front Office Coordinator
Woodring_Shelby no background

Vicus Capital is pleased to introduce Shelby Woodring as the firm’s new Front Office Coordinator. Shelby’s primary role is answering incoming telephone calls and directing advisors or staff to the most appropriate team member, while assisting internal departments with administrative responsibilities and data management projects.

Shelby graduated from Wilson College where she obtained a Bachelor’s degree in veterinary medicine with a minor in business. She brings over a decade of experience in healthcare and client services. She spent seven years as a Registered Veterinary Nurse and four years as a Dental Assistant, where she developed a strong foundation in precision, organization, and client care. Outside of work, Shelby enjoys spending time outdoors, riding side-by-sides, and being with her husband and their dogs. She values balance in her life and brings the same energy and dedication into her professional role. 

Please join us in welcoming Shelby to the Vicus Capital family!

Congratulations Emma Bastis

Advisory Operations Associate
Bastis, Emma_No Background

Please join us in congratulating Emma on her new role as an Advisory Operations Associate! In her role as a supporting member of the Advisory Operations team, Emma’s responsibilities now include advisory new business, money movement processing, Fidelity, Charles Schwab and Lincoln advisory product support, and new business technology support.

Department: Advisory Operations

U.S. Dividend Equity Strategy

Wealth Objectives
  • Equity / Aggressive / Growth
  • Fee Concious
  • Home Bias / Reduce International
  • Income
About the Strategy
  • Provides a diversified allocation across U.S. large cap equities with a focus on dividend-paying stocks, ensuring both growth potential and income stability
  • Features cost-effective, tax-efficient ETFs for fee-conscious investors seeking consistent returns and lower portfolio expenses
  • Emphasizes domestic equity exposure to avoid currency risk, with a focus on established market leaders and persistent dividend payouts
  • Combines stability from dividends with growth potential through equity investments, creating a balanced strategy for income and asset appreciation
Minimum Account Value 1

$65,000

Fee

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Private Illiquid Alternatives

Wealth Objectives
  • Custom / Sophisticated
About the Strategy
  • Enables you to incorporate private alternative options within custom PCS™ portfolios
  • Minimums as low as $25,000 per strategy for increased accessibility
  • Potential to offer clients higher returns than traditional investments and help to diversify a client’s portfolio
  • Please reference the brochure for full details
Hines Global Income Trust

Core Real Estate

Offers long-term exposure to conservative real estate investments. Appropriate for clients seeking steady growth in income.

Requirements

  • Client profile must be $250,000 net worth or $70,000 income and $70,000 net worth
  • Monthly subscription
  • $25,000 firm-level minimum
  • 1099 tax reporting
AMG Pantheon Fund

Perpetual Private Equity

Offers long-term exposure to earlier-stage companies before  they reach public markets. Used to diversify return away from  public markets.

Requirements

  • Client status must be $250,000 net worth or $70,000 income and $100,000 net worth
  • Daily subscription
  • $25,000 fim-level minimum
  • 1099 tax reporting
Jones Lang LaSalle Income Property Trust

Core Real Estate

Offers long-term exposure to conservative real estate investments. Appropriate for clients seeking steady growth in income. Offers an additional 721 Exchange option, providing the ability to roll current real estate gains into the fund.

Requirements

  • Client status must be Accredited Investor
  • Monthly subscription
  • $50,000 minimum
  • 1099 tax reporting
Goldman Sachs Exchange Place All Cap II LP

Hedge Fund

This fund utilizes an Exchange Fund concept. The objective is to exchange appreciated stock for the returns of the Russell 3000 Index. This fund can be used to avoid immediate capital gain realization by exchanging the returns of the client’s currently held appreciated stock.

Requirements

  • Client status must be Qualified Purchaser
  • Daily Subscription: Funded with appreciated
    securities, not cash
  • $750,000 minimum
  • K-1 tax reporting
Minimum Account Value

Account minimums vary by
strategy. Please reference the brochure for details.

Fee

Fee schedule varies by
provider. Please reference the brochure for details.

Women's Empowerment SMA

Wealth Objectives
  • Individual Stocks / Bonds
  • Equity / Aggressive / Growth
  • Custom / Sophisticated
  • Home Bias / Reduce International
About the Strategy
  • Enables you to gain direct ownership of companies demonstrating a positive track record of promoting gender diversity and empowerment of women within custom PCS™ portfolios
  • Utilizes tax loss harvesting to help minimize near-term tax bills
  • Benchmarked against the Russell 1000 Index; designed to exhibit similar risk/return profile with low tracking error
  • Stock selection results from a screening process to remove companies with poor track records with respect to issues criteria; remaining stocks are weighted on market cap, with companies scoring well with respect to issues criteria receiving an increased weighting
Minimum Account Value

$125,000

Fee

0.15%

American Funds SIMPLE IRA Plus

About the Strategy
  • A simplified version of a defined contribution qualified plan that seeks to provide many of the benefits of a 401(k) within the simplified construct of an IRA
  • Convenient option for employers and small businesses with 100 employees or fewer
  • Unique features such as automatic enrollment, a Roth option and the ability for the IAR to bill the employer or plan sponsor directly
Fees

Vicus Capital Fee

  • 0.10% of plan assets
  • No account minimum

American Funds Fee

  • $25 Setup Fee (one-time)
  • $25/participant annually
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3rd Party SMA Platform

Wealth Objectives
  • Individual Stocks / Bonds
  • Equity / Aggressive / Growth
  • Custom / Sophisticated
  • Tax Management
About the Strategy
  • Dozens of strategies from a variety of managers across a breadth of asset classes
  • Enables you to incorporate individual stock and bond ownership within custom PCS™ portfolios
  • Minimums as low as $50,000 per strategy for increased accessibility
  • Increased tax efficiency when compared to mutual funds
Minimum Account Value

Account minimums vary by
strategy. Please reference the fee schedule for details.

Fee

Fee schedule varies by
provider. Please reference the fee schedule for details.

Retirement Plan Services

About the Strategy
  • 3(21) and/or 3(38) fiduciary services as defined by ERISA on behalf of qualified retirement plans
  • Flexibility to partner with various recordkeeper and administration providers
  • Through a due diligence process, Vicus makes recommendations for the diversified investment options from which plan participants may choose
  • Ongoing management of the plan’s assets by Vicus Capital
Fees

Fee schedule varies by client need.

KEEP (StoneCastle)

Wealth Objectives
  • Cash Management
About the Strategy
  • Automatically deposits accounts greater than $250,000 across multiple banks to ensure all assets are covered by FDIC insurance
  • Next business day liquidity and unlimited transactions
  • Competitve solution for assets in bank savings accounts or CDs
Minimum Account Value

$250,000

Fee

0.30%

All Cap Equity Strategies

Wealth Objectives
  • Home Bias / Reduce International
  • Equity / Aggressive / Growth
About the Strategy
  • Two distinct allocation variations allowing you to overweight specific domestic equity styles (growth or value) based on your outlook on the markets
  • Addresses client requests to avoid international equity
  • Enhanced domestic equity diversification in a total portfolio across large, mid, and small cap
  • Growth – Opportunistic exposure to companies demonstrating the potential for faster revenue or earnings growth
  • Value – Concentrates on identifying high-quality companies with attractive valuations
Minimum Account Value 1

$65,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Direct Indexing Strategies

Wealth Objectives
  • Individual Stocks / Bonds
  • Tax Management
  • Equity / Aggressive / Growth
  • Custom / Sophisticated
  • Home Bias / Reduce International
About the Strategy
  • Index-like exposure via personalized individual stock ownership within custom PCS™ allocations
  • Expanded tax efficiency and loss harvesting in non-qualified accounts
  • Deliver a unique investment experience beyond the passive ETF approach
  • Choose from a lineup of pre-built options or build your own to exact client specifications
  • Custom overlay options for factors (smart beta) and tilting
Minimum Account Value

$125,000

Fees

Passive Strategies

0.15%

Factor Strategies

Domestic Strategies: 0.55%

International Strategies: 0.65%

401(k) Account Management for Participants (AMP)

Wealth Objectives
  • Custom / Sophisticated
About the Strategy
  • Assist clients with the management of their accounts inside a qualified retirement plan
  • Tailored portfolios, designed by Vicus, based on client’s available fund lineup takes the workload off your plate
  • Ongoing account review and management, including rebalancing to target
  • Convenient consolidated reporting via a direct feed to Black Diamond
Minimum Account Value

$100,000

Fee

0.30%

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Managed Money Market Solution

Wealth Objectives
  • Cash Management
  • Defensive / Protection
  • Income
About the Strategy
  • Compete against bank savings accounts and money markets
  • Increased level of liquidity when compared to banking CDs
  • Access to money markets to avoid market exposure in times of market stress
  • Potential to offer a higher yield than a typical bank savings account
  • Opportunity to gather assets now for future investments in the market
Minimum Account Value

$40,000

Fee

0.15%

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FlexChoice™ Platform

Wealth Objectives
  • Open Architecture
About the Strategy
  • Open architecture design allowing for flexibility, personalized service levels, and access to the Vicus Tech Stack
  • Diverse lineup of service offerings for integration with your personalized approach to portfolio construction, management, and wealth planning
    • Investment Consultation
    • Insights & Analytics
    • Trading & Rebalancing
    • Reporting, Billing & Revenue Management
    • IT & Cybersecurity
    • Fully Integrated Custom Marketing
Minimum Account Value 1

$250,000

Fee

FlexChoice
Fee schedule starts at 0.35%

FlexChoicePro
Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Vicus Managed Separate Accounts program image

Vicus Managed Separate Accounts

Wealth Objectives
  • Individual Stocks / Bonds
  • Equity / Aggressive / Growth
  • Dynamic / Tactical / Trading Activity
  • Home Bias / Reduce International
  • Custom / Sophisticated
  • Fee Conscious
About the Strategy
  • Separately managed accounts (SMAs) managed by the Vicus Investment Team
  • Available for use in custom allocations within Private Client Strategies™
  • Direct ownership of 25 – 30 individual equities per strategy
  • Monthly screening; highly active with high expected turnover
  • No strategy level fee or internal expense
Vicus Dynamic Core Strategy
  • Enables you to include individual domestic large cap stocks within custom PCS™ portfolios via multi-factor security selection
  • Multi-factor security selection considering momentum, value, quality, and low volatility
Vicus Mega Cap Momentum Strategy
  • Enables you to include individual stocks of big name, mega cap companies within custom PCS™ portfolios
  • Introduce an alternate analytical approach of momentum, relative strength
  • Not limited to growth or value stocks
Vicus U.S. Active Rotation Strategy
  • Enables you to include individual domestic stocks within custom PCS™ portfolios via dynamic/tactical security selection
  • Identical security selection methodology utilized in the Alpha Rotation Sleeve of the tactical GTS™ strategy, including technical analysis, momentum, relative strength
  • Not limited by market cap or style within domestic equity
Vicus U.S. Value Strategy
  • Enables you to tilt domestic large cap equities toward value within custom PCS™ portfolios
  • Incorporate individual stocks via a multi-factor security selection considering momentum, value, quality, and low volatility
Minimum Account Value

$50,000

Fee

0.00%

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Vicus Capital Fee-Based Annuities Strategy

Wealth Objectives
  • Income
  • Tax Management
  • Defensive / Protection
About the Strategy
Lincoln Core Capital
  • Lock in a guaranteed rate of return (5-year surrender period; 2% withdrawal penalty) with this fixed indexed annuity 1
  • Protection against losses; trade capped upside for downside protection
  • Partial surrenders, up to 10% of the contract value, can be withdrawn each contract year without incurring a penalty
Lincoln InvestmentSolutions™
  • Variable annuity featuring investment model options constructed and managed by Vicus Capital
  • Takes sub-account selection off your plate
  • Passive and active model options offer potential for long-term growth
Lincoln Investor Advantage
  • Annuity rescue opportunities
  • Variable annuity featuring investment model options constructed and managed by Vicus Capital
  • Takes sub-account selection off your plate
Lincoln Level Advantage
  • Offers various upside participation rates with downside protection options
  • Volatility reducer by compressing potential return outcomes
  • Balance growth and protection
American Legacy® TDI
  • Target date investment options from American Funds simplifies investment selection and adjusts automatically over time
  • Guaranteed income growth while saving 1
  • Offers the highest level of protected lifetime income among Lincoln suite throughout retirement
Fees

Fee schedule varies by annuity.  Please reference the fee schedule for details.

1 Guaranteed income solutions vary by product and typically involve additional fees. Review specific product information details made available by the respective providers related to guarantees and costs involved.

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Faith Focused CoreOps™

Wealth Objectives
  • Diversified / Risk-Based Models
  • Dynamic / Tactical / Trading Activity
  • Defensive / Protection
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various Faith criteria using 3rd party software1
  • Versatile ‘one-stop shop’ hybrid strategy combining both strategic, long-term and tactical management styles via a core and satellite approach
Minimum Account Value 2

$75,000

Fees

Fee schedule starts at 0.55%

1 As it relates to the Faith Based Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

2 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Faith Based Standard Strategy

Wealth Objectives
  • Diversified / Risk-Based Models
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various Faith criteria using 3rd party software (both zero tolerance and maximum revenue thresholds)1
  • Inclusionary research processes1 from fund managers to invest in companies that are ‘doing well by doing good’
Minimum Account Value 2

$60,000

Fees

Fee schedule starts at 0.40%

1 As it relates to the Faith Based Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

2 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for ESG Focused CoreOps

ESG Focused CoreOps™

Wealth Objectives
  • Diversified / Risk-Based Models
  • Dynamic / Tactical / Trading Activity
  • Defensive / Protection
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various ESG criteria using 3rd party software1
  • Versatile ‘one-stop shop’ hybrid strategy combining both strategic, long-term and tactical management styles via a core and satellite approach
Minimum Account Value 2

$75,000

Fees

Fee schedule starts at 0.55%

1 As it relates to the ESG Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

2 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for ESG Standard

ESG Standard Strategy

Wealth Objectives
  • Diversified / Risk-Based Models
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various ESG criteria using 3rd party software (both zero tolerance and maximum revenue thresholds)1
  • Inclusionary research processes1 from fund managers to invest in companies that are ‘doing well by doing good’
Minimum Account Value 2

$60,000

Fees

Fee schedule starts at 0.40%

1 As it relates to the ESG Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

2 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Faith Based Elements

Wealth Objectives
  • Diversified / Risk-Based Models
  • Small Account Values
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various Faith criteria using 3rd party software (both zero tolerance and maximum revenue thresholds)1
  • Access to increased diversification to sub-asset classes and styles upon graduation to parent program
Minimum Account Value

$2500

Maximum Account Value

$50,000

Fee

0.65%

1 As it relates to the Faith Based Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

Program image for ESG Elements

ESG Elements

Wealth Objectives
  • Diversified / Risk-Based Models
  • Small Account Values
About the Strategy
  • Ability to align investments with values and convictions
  • Exclusionary screening by Vicus for various ESG criteria using 3rd party software (both zero tolerance and maximum revenue thresholds)1
  • Access to increased diversification to sub-asset classes and styles upon graduation to parent program
Minimum Account Value

$2500

Maximum Account Value

$50,000

Fee

0.65%

1 As it relates to the ESG Strategies, all screening is performed on a best efforts basis to avoid exposure to identified issues. Vicus Capital maintains no direct control over securities purchased or sold by third party managers. As such, Vicus Capital makes no guarantees that ownership of securities involved in identified issues will be avoided. Portfolio holdings may violate identified issues during transition periods. Individual managers utilized may perform additional screening. On a periodic basis, Vicus Capital screens portfolios using software and research analysis. Certain securities such as bonds, money markets, and derivatives are not subject to screening using software and are not included in this analysis. In addition, some companies may not be included within the research universe and are not subject to analysis. Vicus Capital believes that holdings and screening information provided to the firm to be accurate, but accuracy cannot be guaranteed. Custodial services are provided through Fidelity Brokerage Services and Charles Schwab. In-kind transfers are dependent upon custodial platform offerings.

Program image for Dynamic Fixed Income

Dynamic Fixed Income Strategy

Wealth Objectives
  • Dynamic / Tactical / Trading Activity
  • Custom / Sophisticated
About the Strategy
  • Fully tactical strategy to take the guess work out of how to opportunistically invest in nontraditional fixed income
  • Can serve as a complement to other diversified or all-equity strategies when  building your own portfolios
  • Aggressive approach to fixed income investing; nontraditional fixed income has  the potential for more equity-like risk/return profile
  • Algorithm-based management approach incorporates technical analysis and  momentum techniques and factors
  • Mitigate downside risk by potentially moving to cash or treasuries
Minimum Account Value 1

$45,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Global alphaTrend Strategy™ (GTS™)

Wealth Objectives
  • Dynamic / Tactical / Trading Activity
  • Defensive / Protection
  • Custom / Sophisticated
About the Strategy
  • Fully tactical strategy to serve as a complement to other strategic long-term asset allocations
  • Sleeve construction consisting of Rotating Bonds, Alpha Rotation, and Global (Fixed Bonds remains mostly static)
  • Can become more defensive in downward trending markets by shifting the Global sleeve allocation toward fixed income options
  • Opportunistic investment in sectors and sub-sectors within the Alpha Rotation sleeve
  • Algorithm-based, dynamic shifts within the sleeves driven by shorter-term technical analysis and momentum indicators
  • Algorithms evaluated weekly for potential trades in Satellites; will make 25 – 30 trades annually on average
Minimum Account Value 1

$75,000

Fees

Fee schedule starts at 0.55%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Core Opportunity Strategy™ (CoreOps™)

Wealth Objectives
  • Dynamic / Tactical / Trading Activity
  • Defensive / Protection
  • Home Bias / Reduce International
  • Tax Management
  • Diversified / Risk-Based Models
About the Strategy
  • Versatile ‘one-stop shop’ hybrid strategy combining both strategic, long-term and tactical management styles via a core and satellite approach
  • Opportunistically overweight asset classes (Core Flection Satellite) and S&P 500 sectors (Sector Satellite)
  • Can become more defensive in downward trending markets via fixed income overweight in Core Flection Satellite and defensive sector selection in Sector Satellite
  • Algorithm-based, dynamic shifts within the satellites driven by shorter-term technical analysis and momentum indicators
  • Algorithms evaluated weekly for potential trades in Satellites; will make 10 – 15 trades annually on average
  • Tax sensitive model options available
Minimum Account Value 1

$75,000

Fees

Fee schedule starts at 0.55%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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U.S. Equity Factors Strategy

Wealth Objectives
  • Home Bias / Reduce International
  • Equity / Aggressive / Growth
  • Dynamic / Tactical / Trading Activity
  • Fee Conscious
About the Strategy
  • Offers a factors, or smart beta, approach to investing (Value, Size, Momentum, Volatility, Quality)
  • Allows you to overweight domestic equity based on your asset allocation preferences or outlook on the markets
  • Includes a sectors sleeve (24% of portfolio), reviewed monthly, to add opportunistic, targeted ownership of 3 domestic equity sectors based on fundamental research
  • Diversified allocation covering large, mid, and small cap as well as styles (core, growth, and value) via majority allocation to cost-effective, tax efficient ETFs
Minimum Account Value 1

$65,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Core Bond Strategies

Wealth Objectives
  • Defensive / Protection
  • Reduce Volatility
  • Tax Management
About the Strategy
  • Can be used as a complete portfolio of 100% traditional fixed income for conservative investors
  • Opportunity to help smooth volatility when paired with equities
  • Core Bond
    • Traditional bond funds to minimize risk for conservative investors or smooth volatility
  • Core Plus Bond
    • Traditional bond funds for risk mitigation with selection of nontraditional bond funds to provide greater return potential
Minimum Account Value 1

$50,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Vicus 24-7 Logo

Vicus 24/7

Wealth Objectives
  • Small Account Values
  • Diversified / Risk-Based Models
About the Strategy
  • Online solution for managed portfolios utilizing ETFs
  • Low account minimum
  • Qualified and taxable account options available
  • Intuitive, web-based account opening process
  • e-Signature process for all account opening documents
  • Offers clients on-demand access to portfolio reporting and analysis tools
Minimum Account Value

$2,500

Fee

0.65%

Financial advisor receives 0.25% of this fee as the “Referring Associate”

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Managers Direct Strategy

Wealth Objectives
Invesco BulletShares
  • Custom / Sophisticated
  • Defensive / Protection
  • Fee Conscious
  • Income
  • Reduce Volatility
  • Tax Management
Invesco Dynamic US Factor Rotation
  • Dynamic / Tactical / Trading Activity
  • Equity / Aggressive / Growth
  • Home Bias / Reduce International
  • Tax Management
BlackRock Target Allocation Smart Beta
  • Diversified / Risk Based Models
  • Equity / Aggressive / Growth
  • Tax Management
Fidelity Sector Equity Business Cycle
  • Diversified / Risk Based Models
  • Dynamic / Tactical / Trading Activity
  • Home Bias / Reduce International
About the Strategy
  • Access to model portfolios managed by third-party investment firms
  • Curated lineup of strategies designed to complement proprietary Vicus Capital offerings
  • Strategies that exhibit specific management approaches and styles to help achieve client objectives
  • Seamless integration with Fusion
Minimum Account Value 1

$50,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Liquid Alternatives Strategy

Wealth Objectives
  • Defensive / Protection
  • Reduce Volatility
  • Custom / Sophisticated
About the Strategy
  • Can be used to address your uncertainty about existing or future market instability or that of your client
  • Helps to reduce the overall volatility of a portfolio and potentially improve risk/return metrics
  • Assets invested in the strategy remain 100% liquid
  • Offers access to strategies not commonly available
Minimum Account Value 1

$60,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Protection Focused Strategy

Wealth Objectives
  • Defensive / Protection
  • Reduce Volatility
  • Income
About the Strategy
  • Ideal for wealth planning bucket approaches for short-term assets and/or safety net
  • Designed to achieve a yield slightly above cash; offers potential for capital appreciation
  • Can be used as a volatility buffer income strategy
  • Offers an ease of planning for both current and future expenses
  • Investments in short and ultra-short duration fixed income results in a lower volatility solution
Minimum Account Value 1

$50,000

Fees

Fee schedule starts at 0.30%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for Active Income Strategy

Active Income Strategy

Wealth Objectives
  • Income
About the Strategy
  • Solve for a client’s income needs during the distribution phase of their investment lifecycle
  • Primary objective is to generate a targeted level of current income while simultaneously managing the portfolio’s total risk
  • Two asset allocation models featuring specific, targeted income levels
    • Conservative 4% Income Target
    • Moderate 5% Income Target
Minimum Account Value 1

$60,000

Fees

Fee schedule starts at 0.45%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for Elements

Elements Strategy

Wealth Objectives
  • Small Account Values
  • Diversified / Risk-Based Models
  • Fee Conscious
  • Tax Management
About the Strategy
  • Smaller dollar amounts for first time investors, UTMA/UGMA, tag-along accounts
  • Advisory option for accounts as low as $2,500
  • Two investment paths from which to choose:
    • Vicus Capital / American Funds Focused Strategies (Nine risk-based models)
    • Vicus Capital / Capital Group Dedicated ETF Strategies (Five risk-based models)
    • ProSelect™ ETP (10 risk-based models)
  • Built-in mechanism to graduate to parent account at $25,000
Minimum Account Value

$2500

Maximum Account Value

$25,000

Fee

0.65%

Vicus Capital / Capital Group Strategies

Wealth Objectives
  • Diversified / Risk-Based Models
  • Small Account Values
  • Tax Management
About the Strategy
  • Low minimum fee accommodates smaller account values
American Funds Dedicated Strategies
  • Helps in converting directly-held mutual fund business to advisory managed accounts when the client wants to invest 100% in American Funds1
  • Share class conversions can help reduce tax impact of transitions if the client owns funds held in the model
  • Independent due diligence and portfolio construction to optimize asset class diversification while allowing portfolios to shift over time based on research and ideas from American Funds
American Funds Focused Strategies
  • Popular choice for converting directly-held mutual fund business to advisory managed accounts
  • Share class conversions can help reduce tax impact of transitions if the client owns funds held in the model
  • Maintains a majority allocation to American Funds while combining mutual funds and ETFs from other managers for risk-adjusted success
Capital Group Dedicated ETF Strategies
  • ETF option when the client only wants to invest in Capital Group and can benefit from the tax efficiencies (taxable accounts)
  • 100% allocation to Capital Group ETFs1
Minimum Account Value 2

$25,000

Fees

Fee schedule starts at 0.45%

1 Vicus Capital is solely responsible for the fund selection and construction of the portfolios and neither Capital Client Group, Inc. nor its affiliates are involved in such activities.

2 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for ProSelect

ProSelect™

Wealth Objectives
  • Diversified / Risk-Based Models
  • Fee Conscious
  • Tax Management
About the Strategy
  • Actively-managed, diversified portfolios
  • Ten asset allocation models featuring exchange traded products (ETFs & ETNs)
    • Access to pure ETF portfolio
    • Solves for fee conscious and passive-oriented investors
  • Ten asset allocation models featuring mutual funds
    • Access to pure mutual fund portfolio
    • Solves for clients desiring an actively-managed approach
Minimum Account Value 1

$75,000

Fees

Fee schedule starts at 0.33%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

Program image for Fusion

Fusion Managed Platform

Wealth Objectives
  • Custom / Sophisticated
About the Strategy
  • Build your own unique investment solutions by combining strategies from the Vicus platform
  • Solve for multiple planning objectives in a single portfolio
  • Efficient portfolio adjustments as client needs change:
    • Add/remove strategies
    • Change strategy weightings
    • Change strategy models
  • Multiple rebalancing options
    • Automatic – Vicus manages on your behalf
    • Manual – Advisor directed in concert with Vicus
Minimum Account Value 1

$150,000

Fee

Investment management fee is
a standard blended household
calculation comprised of the fee
schedules associated with the
strategies utilized

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.

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Private Client Strategies™ (PCS™)

Wealth Objectives
  • Custom / Sophisticated
  • Tax Management
  • Individual Stocks / Bonds
About the Strategy
  • Address specific client needs beyond the scope of a managed model
  • Provide a unique portfolio to align with wealth planning objectives and set yourself apart from the competition
  • Ideal for:
    • High net worth clients seeking a fully-customized strategy
    • Tax management scenarios to efficiently minimize realizing capital gains through a budget
    • Individual stock and bond ownership
    • Access to Private Illiquid Alternatives
    • Tax loss harvesting
Minimum Account Value 1

$250,000

Fee

Fee schedule starts at 0.55%

1 Suggested minimum value.  Accounts may be opened with initial values below the listed amount.