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NBCS Asset Management

NBCS Asset Management, a division of NBC Securities, Inc., is primarily focused on providing high quality investment management solutions in the form of separately managed accounts.

Strategies

NBCS Asset Management

PIERRE ALLARD

Chief Investment Officer

DARREN HINSHAW

Director of Research

CHRISTOPHER FIDLER

Director Fixed Income Trading & NBCSAM Fixed Income Portfolio Manager

Dreams are important.
Aspirations are what help make goals reality.

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Equity Income Strategy (EIS)

The Equity Income Strategy concentrates on companies with consistent growth in earnings and cash flow and a history of increasing dividend payouts. NBCS AM takes an active, long-term approach to investing, selecting high quality, competitively advantaged companies with strong investment grade balance sheets, low debt burdens, and have both secure and growing income streams. We focus on a new generation of growth stocks, characterized by growth in dividends with capital appreciation naturally following along. The inception date of the strategy is February 2006.

Balanced Core

The investment objective of the NBCSAM Balanced Core Strategy is to deliver consistent performance with lower volatility than the benchmark by employing both active and passive investments. The portfolio will hold 60% equities and 40% bonds. The bond layer of the portfolio will be built using a maturity laddering strategy ranging from 5 to 15 years with credit ratings of A or higher. The core equity ETF positions will attempt to diversify the portfolio across multiple asset classes, using the Black Rock target allocation ETF strategies as a guide. Thirdly, actively managed equity positions of approximately 40 stocks in equal dollar amounts that are built using Revelation Investment Research’s (RIR) quantitative ranking algorithm.

Focus Growth

The product objective is to outperform the Russell 1000 over a full market cycle with less volatility. The portfolio consists of 25 equally weighted U.S. stocks based on Revelation Investment Research’s quantitative equity ranking algorithm with a tilt toward growth. The sectors are unconstrained.

Core Equity

The product objective is to outperform the S&P 500 TR index over a full market cycle with less volatility. The portfolio consists of 40 equally weighted U.S. stocks based on Revelation Investment Research’s quantitative equity ranking algorithm. The sectors are unconstrained and presently void of utilities and energy. Equity positions of approximately 40 stocks in equal dollar amounts that are built using Revelation Investment Research’s (RIR) quantitative ranking algorithm.

Core Equity Plus

The product objective is to outperform the S&P 500 TR index over a full market cycle with less volatility. The equity portion of the portfolio consists of 40 equally weighted U.S. stocks based on Revelation Investment Research’s quantitative equity ranking algorithm. The sectors are unconstrained. This strategy is an equally weighted combination of the Core Equity (50%) and ETF Model (50%) strategies.

High Dividend Yield (HiDY)

The High Dividend Yield Strategy concentrates on companies with consistent growth in earnings and cash flow, high current dividend yields and a history of increasing dividend payouts. NBCS AM takes an active, long-term approach to investing, selecting high quality, competitively advantaged companies with investment grade balance sheets and have both secure and growing income streams. We focus on a new generation of growth stocks, characterized by growth in dividends with capital appreciation naturally following along.

Energy Infrastructure Portfolio (EIP)

The Energy Infrastructure Portfolio concentrates on midstream energy and utility companies with consistent growth in cash flow, high current dividend/distribution yields and a history of increasing income payouts to investors. NBCS AM takes an active, long-term approach to investing, selecting those companies that emphasize quality and have both secure and growing income streams.

Diversified Equity Income ETF Strategy (DEI)

The Diversified Equity Income ETF Portfolio (DEI) is designed to be a complement to the overall equity exposure in client accounts by giving broad equity exposure that isn’t included in our Equity Income Strategy while maintaining our core focus of growing streams of tax advantaged income. The portfolio allocations are determined using a top-down approach, giving weight to both macro-economic conditions as well as current valuations. The portfolio uses ETFs to gain exposure to different asset classes and provide liquidity and diversification.

Tactical ETF Portfolio (TEP)

The Tactical ETF Portfolio (TEP) is designed to be a complement to the overall equity exposure in client accounts by giving the investment managers the ability to invest tactically in different parts of the market. The decision process can and will be based on macro analysis, valuation & thematic investment criteria. The investment guidelines for the portfolio are meant to be flexible, giving the investment managers the latitude to “go anywhere” to achieve better risk adjusted returns for clients’ equity and overall allocations. The portfolio uses ETFs to gain exposure to different asset classes as well as specific sectors and industries.

Fixed Income

The Fixed Income Strategy is designed to provide current income and stability in client portfolios. The portfolio is constructed using the firms economic forecast and view of the current yield curve dynamics. We then assess the relative attractiveness of each segment of the fixed income markets to build allocations that we believe provide the best risk-adjusted future returns.

Custom Income

Custom income is a high current income portfolio that blends higher yielding, more defensive equity sectors with financial preferred securities and traditional fixed income to create a diversified stream of income that can be customized based on the individual clients needs as well as their current exposure to the different asset classes.

Strategic Model Portfolios

The Strategic Model Portfolios offer five globally diversified portfolios designed for different levels of risk and expected return. They are constructed using State Street Global Advisor (SSGA) Portfolio index-based ETFs that provide broad diversification and liquidity in a cost-effective manner. Each allocation is constructed for a distinct balance between risk tolerance and expected long-term returns. They range from conservative, which focuses on income and capital preservation, to aggressive, which targets long-term growth. The Portfolios are rebalanced semi-annually to keep their allocations consistent with their target weights.

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Broker Services

NBC Securities leverages the financial strength and security of RBC Clearing and Custody to provide you with securities transactions clearance and custody of financial assets. Independent ownership and this strategic alignment enable NBCS to focus on providing the highest level of service to you with superior clearing, custodial services, and diversified wealth management solutions.