Sustainable and

Responsible Investing

Investing in a new era of increased regulation, resource scarcity

and activist consumers.

Registered Investment Advisors

Atlanta, Georgia

Sustainable and Responsible Investing (SRI)

SRI is much more than some green-washed, esoteric investment philosophy.

By integrating financial and sustainability analysis, SRI identifies well-managed companies who generate superior long term financial returns. The SRI philosophy:

Recognizes that corporate responsibility and society’s concerns are valid parts of investment decisions.

Demonstrates that companies who successfully manage environmental, social and governance issues are more likely to provide superior financial returns to shareholders.

Encourages corporations to improve their practices on ESG matters, reducing the risk that these issues will harm company performance in the future.

Environmental issues: Corporate Governance:

Board independence and composition

Political contributions with corporate funds

Executive compensation

Accounting standards

Bribery and corruption

Carbon emissions and climate change regulation

Rising costs of water scarcity

Pollution penalties or litigation

Energy consumption

Social and Labor Issues:

Outsourced labor conditions

Community involvement

Human and worker’s rights

Product access for underprivileged populations

What are the key ESG investing issues?

Labor and Social Issues

Corporate Governance

How a company deals with environmental and social issues can:

Enhance brand values Decrease risks to profitability

Improve employee retention Attract new customers or shareholders

Lower its cost of capital Open new product opportunities

An SRI strategy is a completely customized solution. By integrating two investment disciplines, your portfolio is ultimately the intersection of:

Attractive financial attributes

Sustainable corporate policies

Your personal values, causes and objectives

Financial

Personal Sustainable

We can integrate SRI into a full range of investment, trust and financial advisory services.

Boardwalk has partnered with some of the

industry’s top service providers to bring

institutional quality resources and solutions

to our clients:

Trust advisory and management

Full open architecture solutions

Social impact investment partnerships

401(k) plan design and management

Educational funding

Retirement planning

Legacy and Philanthropic Management

Complex financing solutions

Family office services

How Boardwalk Capital help you

We implement these strategies with individual securities, top-ranked mutual funds, low cost

exchange traded funds (ETFs) and SRI-focused separate accounts, managed by third party

investment firms. Accredited investors (those who meet certain new worth or income levels)

can take this a step further, through investments in “triple bottom line” private equity, real estate,

lending and other types of impact investment partnerships.

With this combination of investment options, we can tailor a program to meet each client’s

specific needs.

Environmental, Social and Governance (or ESG) factors have taken on increasing importance in recent years. Both company managements and shareholders have seen the impact of these issues on share prices and on profitability. Companies that fail to understand and address the competitive and regulatory effects of these issues present higher levels of risk for investors. Despite the obvious signs, too few investors are heeding the warning to more fully understand the companies that they own.

How well a firm handles these issues reflects the character of that company and its management team. Leadership in these areas has helped companies such as Nike, Coca-Cola and Tiffany & Co. to create a sustainable competitive advantage, further building “their brand” and enhancing shareholder value.

Why should I care about SRI? In a word: RISK

Enhance your retirement security with personalized advice and counsel.

The five elements of your SRI Portfolio

The sustainable core portfolio Begins with research

With a mix of global alliances and internal research,

Boardwalk Capital created a family of Global

Sustainability Indexes. These indexes were designed

to give investors a choice of sustainable investment

solutions that could serve as the “core” of their asset

allocation.

From this same research comes the Global

Sustainability Leaders portfolio – 40 multi-national

companies who exhibit true best-of-class performance

on environmental, social and corporate governance

issues. Portfolio construction policies help to manage

risk by forcing industry and security diversification.

Variations on this process include Fossil Fuel-Free

Equity, US-only Sustainability Leaders and the Global

100 Sustainability Index.

The supporting roles: Carefully selected external managers

Boardwalk has partnered with a diverse group of

investment advisors who have proven skills in

Sustainable Investing. Many of these specialist firms

work primarily for institutional investors. Their

minimum account sizes, therefore, are often in excess

of $5 million. Our affiliation with allows

us to offer the services of these boutique firms with

minimum accounts of as little as $100,000.

The niche players Thematic funds and ETF’s

Boardwalk has searched through thousands of funds

and ETFs to find those with unique strategies, solid

performance, and a commitment to sustainable

investing. These vehicles provide important

diversification into attractive market segments.

Gabelli Green SRI

The Impact Investments Partnerships for social impact and financial return

For accredited investors, opportunities abound in “Triple

Bottom Line” partnerships. Whether investing in

microlending, brownfield real estate remediation,

organic farmland conversion, renewable energy or clean

technology – conventional asset classes become social

impact vehicles that earn financial returns.

Bringing it all together: Asset allocation and customization Of course, equities are not the only investment in a diversified portfolio. Asset allocation is customized to each client’s risk tolerance.

Portfolios can also be

tailored to meet each

client’s values criteria

and for exclusion of

controversial industries.

Equities US/Non-US/Emerging

Large/Mid/Small/Micro Real Estate

Fixed Income Muni/Taxable

Investment grade/high yield

Commodities

Triple Bottom Line Partnerships Renewable Energy

Exclusion Categories Tobacco

Alcoholic Beverages

Munitions

Nuclear Power

Animal Testing

Gambling

Adult Entertainment

Other

Alternative investments are for accredited investors who meet certain net worth and/or income criteria.

Global Sustainability Leaders (Top Holdings)

Starbucks Inc. USA

International Bus Mach USA

SAP Germany

BHP Billiton Australia

Nestle SA Switzerland

UPS USA

HSBC Holdings PLC UK

Google Inc. USA

Procter and Gamble Co. USA

Novartis AG Switzerland

About Boardwalk Capital Management

Formed in 2009, Boardwalk Capital Management is a relatively new, yet highly

experienced Registered Investment Advisory firm. For more than 20 years, our

professionals have served as trusted partners to individuals, families and

institutions. We have provided wealth management guidance and solutions based

on a thorough understanding of each client’s particular situation and goals.

As a boutique firm, we can provide a level of

personal service and customized management that

is seldom achieved by large institutions. We assist

our clients with issues as diverse as debt financing,

estate and financial planning, 401k plans and other

investment issues. We are a resource, first and

foremost.

Our approach to investment management is unique.

Most firms charge a higher fee for riskier investment

vehicles than they do for more stable ones.

Unfortunately, the typical advisor’s financial

incentive is to retain a higher allocation to risky

assets. Our balanced fee structure is designed to

remove “revenue” from investment decisions. Our

advice is always objective with no biases. Period.

Our investment philosophy is summed up in two

words: Common Sense. Consistent across all

of our investment and advisory programs is a

commitment to:

Sustainable investment principles

Consistent risk management

Broad diversification

Disciplined rebalancing

Transparent fees

We have no products to push or commissions to

generate. Our only incentives are those that

help us to retain you as a satisfied client.

1275 East Rock Springs Road

Suite 200

Atlanta, Georgia 30306

Phone: 404 343 2026

Fax: 866 923 4249

Email: Info@BoardwalkCM.com

http://www.boardwalkcm.com

B. Scott Sadler, CFA, President, Chief Investment Officer (Atlanta, GA) 25+ years investment experience. Wachovia Funds, Bank of America Capital, Goldman Sachs. Founded Wachovia’s first international mutual fund. Top quartile track record. Wealth management counsel to prominent families, companies, athletes and entertainers. Chartered Financial Analyst.

McLloyd K. Jensen, Principal (New York, NY) The firm’s alternative investments expert. 20+ years investment management and research experience. Securities analyst and institutional representative for several global investment banks. Launched and managed own hedge fund. Major investors included the legendary Sir John Templeton.

Mary H. Sadler, Principal, Chief Operating Officer (Atlanta, GA) Responsible for the business management aspects of Boardwalk Capital Management. A lifelong advocate of responsible corporate behavior, she is the driving force behind the firm’s Sustainable Investment strategies.

Gerald J. Walsh, Principal (Charlottesville, VA) 20+ year investment veteran. Alumnus of many of the world’s most prominent investment banks. Specific emphasis on emerging markets. Built businesses for a number of successful investment advisory firms. Senior advisor and business development specialist.

The Boardwalk Team

1275 East Rock Springs Road

Suite 200

Atlanta, Georgia 30306

Phone: 404 343 2026

Fax: 866 923 4249

Email: Info@BoardwalkCM.com

http://www.boardwalkcm.com

Affiliations and Resources:

Boardwalk Capital Management adheres to the

UN Principles for Responsible Investment

An investor initiative in

partnership with UNEP FI and

the UN Global Compact

Boardwalk Capital Management

is an active member of the

Green Chamber of the South