Defensive Portfolio Series - Lindner Capital€¦ · 23 Fiduciary Practices defined by the Prudent Practices for Investment Stewards handbook. Certification for Global Fiduciary

A Registered Investment Advisor600 Village Trace, Building 23, Suite 300, Marietta, GA 30067 (800) 229-4306 www.LindnerCapital.com1

Defensive Portfolio SeriesClient Presentation

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Presented by:


Table of Contents

Introduction• Welcome

• Your Investment Team

Investment Strategy• Defensive Portfolio Series Overview

• Lindner Capital’s Strategic Partner

• Manage Portfolio Risk

Portfolio Summary• Portfolio Allocations

• Strategy Strengths

• Fiduciary Responsibility


Welcome

Thank you for your interest in Lindner Capital Advisors (LCA). The goal of this presentation is to introduce you to our company, our unique investment strategy, and our client service process.

Your Advisor has partnered with LCA to offer you portfolios designed to be truly consistent with key parameters, including your risk tolerance, investment objective and time horizon.

Your Advisor will assess your personal goals and objectives and assist you in selecting the appropriate portfolio to fit your investment needs. We thank you for the opportunity to introduce you to our program, and look forward to helping you enjoy a long-term investment experience.

Sincerely,

Lindner Capital Advisors


Your Investment Team

Financial Advisor• Assess your personal goals and objectives and assist you in selecting a

portfolio• Monitor the progress of your portfolio• Handle your account servicing needs• Annual account review meetings

Lindner Capital Advisors• Manage your assets on discretionary basis• Federally Registered Investment Advisor (SEC)• Based in metro Atlanta; Founded in 1996

Investment Company Partner• Dimensional Fund Advisors (DFA)

Custodian Partners• Fidelity, Schwab, TD Ameritrade, National Financial Services (NFS),

First Clearing


Defensive Portfolio Overview

Fixed Income Portfolio

Retirement & Taxable Allocations

– 100% Fixed Income Allocation

– Risk Objective - Very Conservative

– Liquid, No Lock Up Periods

– No Deferred Sales Charge


FACTS ABOUT DIMENSIONAL

Lindner’s Strategic PartnerDimensional Fund Advisors (DFA)

Founded in 1981

Clients in more than 25 countries

Nine offices in 7 countries

24 hour market coverage

Over 650 employees

Investment Management is primary business

DFA an Institutional Fund Company- not available to retail markets- $287.2 Billion in global assets under management, June 30, 2013 #

- Global equities and fixed income - Rated #1 in financial advisor loyalty, 2010 - 2012 by Cogent Research * - Shared belief in Lindner’s core principles# Source: www.dfaus.com/firm/overview.html* Source: Ignites, DFA, American Funds Nab Top Advisor Scores; Mariana Lemann , July 5, 2012

Source: An Introduction to Dimensional Fund Advisors, December 31, 2013

http://www.dfaus.com/firm/overview.html


Manage Portfolio Risk

Manage the three components of bond risk:

1) Credit Quality - high quality is safer

2) Maturity - shorter maturities are safer

3) Issuer - Government and Corporate


Defensive Portfolio Allocation


Strategy Strengths

– High Credit Quality – Goal of 90% Investment Grade

– Short Term Bonds - < 4.5 years duration

– Issuers – Corporate and Government Bonds

– Low Internal Expenses – range .2% - .3%

– Full Liquidity, No Deferred Sales Charge


Fiduciary Oversight

Independent recognition of an Investment Stewards conformity to all 23 Fiduciary Practices defined by the

Prudent Practices for Investment Stewards handbook

Certification for Global Fiduciary Standards of Excellence

ORGANIZE FORMALIZE IMPLEMENT

MONITOR


Disclosures

Lindner Capital Advisors, Inc. (“LCA”) is an SEC registered investment advisor. Registration as an investment advisor does notconstitute an endorsement of the firm by the SEC nor does it indicate that the advisor has attained a particular level of skill orability.

Performance & Asset AllocationNo chart, graph, or other figure provided should be used to determine which securities to buy or sell. Asset allocations may varyfrom target allocations. Performance and asset allocation does not guarantee future results, assure a profit or protect againstloss. Investment in an individual fund or funds in a single asset class may outperform or underperform an asset allocationsfund. Share values will fluctuate and, when redeemed, may be worth more or less than the original cost.

Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investmentstrategy will be profitable. Each asset class has inherent risks associated with that asset class. Understanding these risks iscritical to making reasonable risk/return comparisons and sound investment decisions. Each of LCA’s strategies may makesmall and micro-cap investments, which are subject to greater volatility than those in other asset categories. Each of LCA’sstrategies may invest in sector funds, which may involve a greater degree of risk than an investment in other funds with greaterdiversification. Each of LCA’s strategies may invest in fixed-income investments, which are subject to various risks, includingchanges in interest rates, credit quality, market valuations, liquidity, prepayments, corporate events, tax ramifications, andother factors. Each of LCA’s strategies may make international investments, which are subject to additional risks, such ascurrency fluctuation, confiscatory policy, political instability, or potential illiquidity. Investing in emerging markets mayaccentuate these risks.

Since no one manager is suitable for all types of investors, it is important to review investment objectives, risk tolerance,liquidity needs, tax consequences and any other considerations with a financial professional before choosing an investment style or manager.

Terms of UseThis presentation is confidential and may not be disseminated or reproduced without LCA’s consent. This presentation is intended for informational purposes only and is not intended to constitute investment advice or recommendations by LCA or any other party.

Documents

Defensive Portfolio Series - Lindner Capital€¦ · 23 Fiduciary Practices defined by the Prudent Practices for Investment Stewards handbook. Certification for Global Fiduciary