Personalised Service

The graphic details the various Fisher Investments teams to which clients are connected via their Investment Counselor. The graphic is arranged as a three-level hierarchy. It has seven main text boxes that are connected by arrows:

• Top level
  • You [the client]
• Second level (from left to right)
  • Private Client Director
  • Investment Counsellor
  • Private Client Advice
• Third level (from left to right)
  • Account Administration
  • Portfolio Management
  • Client Services

At the top of the graphic is the text box that reads “You.” This represents the client. Lines with arrows at either end connect the client box to those for Private Client Director, Private Client Advice and Investment Counselor. This implies two-way communication.

The box for Private Client Director describes the following relationship: “Your local Fisher Investments UK contact to gather and provide information regarding the analysis of your assets being considered for Fisher Investments’ management and to assist with the transition process.”

The box for Private Client Advice says, “Fisher Investments UK Analysts can assess your existing portfolio, goals and objectives, and provide an asset allocation recommendation and advice on a range of financial planning topics.”

At the center of the graphic is the text box for “Investment Counselor.” This symbolically shows how the Investment Counselor conveys information between the client and three Fisher Investments’ teams: Account Administration, Portfolio Management and Client Services. Lines with arrows at either end connect the Investment Counselor to these other text boxes to show that information can flow in two directions.

The text under Investment Counselor reads, “A Fisher Investments service contact serving as a liaison between you and Fisher Investments’ Investment Policy Committee (IPC). This primary point of contact will ensure your portfolio is constructed and managed consistent with your objectives and specifications.”

The Investment Counselor box is connected by a dual-headed arrow to Account Administration to show that the client’s main contact at Fisher Investments can facilitate communication with this group. There are two teams represented under the Account Administration heading: Client Services Associate and Custodian.

The text with Client Services Associate reads, “Sets up accounts with the custodian and oversees the funding process. Helps maintain accounts and assist with any operational needs.”

The text with Custodian is, “A third party that houses your assets for management by Fisher Investments. Processes trades and sends valuations. The custodian is independent from Fisher Investments and Fisher Investments UK.”

Dual-headed arrows also connect the Investment Counselor to a category called Portfolio Management. This category has three teams listed from left to right: Research, Investment Policy Committee and Trading.

The text for Research reads, “Provides Fisher Investments’ IPC with high-quality, timely information and analysis.”

For Investment Policy Committee [IPC], the text reads, “Sets investment policy and makes the firm’s strategic investment decisions. The IPC consists of Ken Fisher, Jeff Silk, Bill Glaser, Aaron Anderson and Michael Hanson.”

And the text for Trading is, “Issues trade orders based on the IPC’s investment decisions and strives to execute trades at the lowest overall cost to you [the client].”

Lastly, the Investment Counselor box is connected by a dual-headed arrow to a group named Client Services. Client Communications and Client Programmes are the two teams listed under Client Services.

The text for Client Communications reads, “Provides regular communications to keep you informed of market developments that matter and how they may affect your portfolio.”

Under Client Programs, the text says, “Holds forums and seminars for you to learn about capital markets and keep you apprised of our market views.”