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Compensation Disclosure Information

Compensation Disclosure Information 2017-11-13T21:06:09+00:00

Compensation Disclosure Information

Compensation Disclosure Investacorp, Inc. offers many different investment products including mutual funds, variable annuities, variable life insurance and real estate investment trusts. We are committed to providing clients with the information they need to make informed investment decisions.

On this page you will find important information that you may wish to consider when selecting investments with the help of your Investacorp financial advisor. The information on this page will be updated from time to time.

Mutual Fund Compensation Disclosure

At Investacorp, Inc. (“Investacorp”) we receive compensation from all of the mutual fund families with which we have a selling agreement. These payments may include commissions (sometimes referred to as “loads”), trailing commissions (including 12b1 payments) and payments made in connection with programs that support our marketing and sales-force education and training efforts (referred to here as “Sponsorship Programs”).
The mutual fund companies (i.e. product vendors) that participate in our Sponsorship Programs are selected based on several criteria including brand recognition, product breadth, investment performance, and training/wholesaler support. In addition to the fees disclosed in the applicable prospectus fee table, Investacorp receives cash compensation from the product vendors that participate in our Sponsorship Programs. They do so in exchange for certain benefits, such as broader access to our financial advisors in providing training and educational presentations.

Typically, payments made under the Sponsorship Programs are calculated based upon total product sales and/or assets under management (“AUM”) held by the participating product vendor. Investacorp may receive compensation of up to 0.25 percent of the gross product sales, and additionally, up to 0.05 percent of AUM. For example, if you invested $10,000 dollars with a participating product vendor, Investacorp could receive up to $25.00 based on the gross sales amount. In addition, if you held assets worth $10,000 with a participating mutual fund family for one year, Investacorp could receive up to $5.00 based on the asset amount. Investacorp financial advisors do not receive any part of these payments.

Our Sponsorship Programs include participation at Investacorp’s National Conference or one of our regional meetings. Typically, a product vendor who wishes to participate in one of our meeting events would make a one-time Sponsorship payment, which allows them to make presentations to our financial advisors and/or provides the vendor with exhibit/advertising space at the event.

We believe that these programs do not compromise the assistance or guidance provided by your Investacorp financial advisor.
Participating Sponsors*

The following mutual fund product vendors have participated in one of Investacorp’s Sponsorship Programs: American Funds, Franklin Templeton, Lord Abbett, Oppenheimer Funds, Pacific Life Funds, Putnam Funds, RS Funds, Wells Fargo Advantage Funds, Blackrock, Columbia Management, Fidelity Investments, Deutsche Asset and Wealth Management, JP Morgan, Invesco Funds, Nationwide Funds, Pioneer Funds, PIMCO, Prudential Investments, Principal Funds, Thornburg Funds, American Century Funds.
* For year to date 2014.

Commission Information

When Investacorp receives a commission from a mutual fund underwriter, the underwriter usually retains a portion of the commission to compensate the underwriter for the distribution services it provides. In some cases, a mutual fund’s underwriter will decide not to retain any of the commission and will pay all of the commission to Investacorp. In these cases, because Investacorp generally pays its financial advisors the same percentage of any commission we receive, your financial advisor will receive extra compensation for selling a mutual fund that does not retain any of the commission.

Trailing Commission Information

Many mutual funds pay Investacorp trailing commissions (including 12b-1 payments). Investacorp usually retains a portion of these fees as compensation for services we provide, and pays the remainder to its financial advisors, as compensation for the services that they provide to their clients.

More Information

Information about a mutual fund’s fees and expenses may be found in the fee table located in the mutual fund’s prospectus. Also, the fund’s statement of additional information contains important information that you may wish to read.

Variable Product Compensation Disclosure

At Investacorp, we receive compensation from all the issuers of variable products with which we have a selling agreement. This compensation may include up-front commissions, trailing commissions, and payments made in connection with programs that support our marketing and sales-force education and training efforts (referred to here as “Sponsorship Programs”).

The issuers (i.e. product vendors) that participate in our Sponsorship Programs are selected based on several criteria including brand recognition, product breadth, investment performance, and training/wholesaler support. In addition to the fees disclosed in the applicable prospectus fee table, Investacorp receives cash compensation from the product vendors that participate in our Sponsorship Programs. They do so in exchange for certain benefits, such as broader access to our financial advisors in providing training and educational presentations.

Typically, payments made under the Sponsorship Programs are calculated based upon total product sales and/or assets under management (“AUM”) held by the participating product vendor. Investacorp may receive compensation of up to 0.25 percent of the gross product sales, and additionally, up to 0.05 percent of AUM. For example, if you invested $10,000 dollars with a participating product vendor, Investacorp could receive up to $25.00 based on the gross sales amount. In addition, if you held assets worth $10,000 with a participating issuer for one year, Investacorp could receive up to $5.00 based on the asset amount. Investacorp financial advisors do not receive any part of these payments.

Our Sponsorship Programs include participation at Investacorp’s National Conference or one of our regional meetings. Typically, a product vendor who wishes to participate in one of our meeting events would make a one-time Sponsorship payment, which allows them to make presentations to our financial advisors and/or provides the vendor with exhibit/advertising space at the Conference.

We believe that these programs do not compromise the assistance or guidance provided by your Investacorp financial advisor.

Participating Sponsors*

The following issuers have participated in one of Investacorp’s Sponsorship Programs: Forethought, Nationwide, Pacific Life, Security Benefit, Prudential, Transamerica, Lincoln, Allianz, ING, Metlife, Sammons Retirement Solutions, Symmetra, AXA, Jackson.
* For year to date 2014.

More Information

Information about an issuer’s fees and expenses may be found in the fee table located in the variable product contract document.

Direct Participation Programs (DPP) Compensation Disclosure

At Investacorp, we receive compensation from all the issuers of Direct Participation Programs (DPP) with which we have a selling agreement. This compensation may include up-front commissions and payments made in connection with programs that support our marketing and sales-force education and training efforts (referred to here as “Sponsorship Programs”).

In addition to the fees disclosed in the applicable prospectus fee table, Investacorp receives cash compensation from the DPP product vendors that participate in our Sponsorship Programs. They do so in exchange for certain benefits, such as broader access to our financial advisors in providing training and educational presentations. Investacorp financial advisors do not receive any part of these payments.

Our Sponsorship Programs include participation at Investacorp’s National Conference or one of our regional meetings. Typically, a product vendor who wishes to participate in one of our meeting events would make a one-time Sponsorship payment, which allows them to make presentations to our financial advisors and/or provides the vendor with exhibit/advertising space at the Conference.

The Direct Participation Program (DPP) issuers that participate in our Sponsorship Programs are listed below. We believe that these programs do not compromise the assistance or guidance provided by your Investacorp financial advisor.

Participating Sponsors*

The following DPP issuers have participated in one of Investacorp’s Sponsorship Programs: CNL Securities, Cole Real Estate, Dividend Capital, Hines Real Estate, Icon Capital, Inland Securities, Noble Royalties, Realty Capital Securities, Walton International, Carey Financial, Franklin Square, Energy Hunter Securities, Griffin Capital, AEI Funds, Strategic Storage.
* For year to date 2014.

More Information

Information about the fees and expenses related to DPP’s may be found in the fee table located in the applicable prospectus document.

Advisory Compensation Disclosure

At Investacorp some of our financial advisors are associated as Advisory Representatives with Investacorp Advisory Services, Inc. (“IAS”), a SEC Registered Investment Advisor. IAS is an affiliate of Investacorp. As a standalone corporation, IAS may receive compensation from third party asset manager program sponsors with which IAS has a selling agreement. These payments may include compensation based on deposits and/or assets under management (“AUM”) and payments made in connection with programs that support our marketing and sales-force education and training efforts (referred to here as “Sponsorship Programs”).

Third party asset manager program sponsors (i.e. product vendors) that participate in our Sponsorship Programs are selected based on several criteria including brand recognition, product breadth, investment performance, and training/wholesaler support. In addition to disclosed fees, IAS receives cash compensation from the product vendors that participate in our Sponsorship Programs. They do so in exchange for certain benefits, such as broader access to IAS Advisor Representatives in providing training and educational presentations. IAS Advisor Representatives do not receive any part of these payments.

Our Sponsorship Programs include participation at Investacorp’s National Conference or one of our regional meetings. Typically, a product vendor who wishes to participate in an Investacorp meeting event would make a one-time Sponsorship payment, which allows them to make presentations to our Advisor Representatives and/or provides the vendor with exhibit/advertising space at the event.

We believe that these programs do not compromise the assistance or guidance provided by your IAS Advisor Representative.