Sheaff Brock Investment Advisors, LLC

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This strategy is designed for aggressive growth, is solely focused on growth, and has high turnover with potentially high volatility.

Mid-Cap 10 Strategy Overview

DESCRIPTION

The Sheaff Brock Mid-Cap 10 portfolio is a proprietary strategy developed to offer investors a vehicle for gaining exposure to mid-capitalization stocks. The goal is to own momentum leaders and avoid momentum laggards in an atttempt to generate risk-adjusted returns. Sheaff Brock considers a market capitalization range for US companies of $1- $10 Billion as representative of the mid-cap universe. The Mid-Cap 10 portfolio is a highly concentrated portfolio. It consists of 10 NASDAQ-listed mid-capitalization stocks selected to offer the investor the potential for aggressive growth. The mid-cap stocks are selected utilizing a “momentum algorithm” focused on trend analysis. The portfolio is actively managed to seek to own equities that benefit from gaining momentum.

Three important considerations are involved with the Mid-Cap 10 strategy:

1 Stocks are filtered through a proprietary algorithm
2 The portfolio will convert to cash when no equities meet prescribed requirements
3 Portfolio volatility is generally higher than the benchmark index

INVESTMENT METHODOLOGY & PORTFOLIO CONSTRUCT

The strategy is comprised of US mid-capitalization companies listed on the NASDAQ.

First On a quarterly basis, between 500 and 600 NASDAQ stocks from 12 industry sectors are reviewed and initially screened for strong growth attributes and market leadership.

Second 120 stocks are selected and run through a proprietary trend-analysis algorithm in order to determine the stocks displaying the highest momentum characteristics.

Third A maximum of 10 stocks are chosen for purchase, and no more than 10 stocks are held in the portfolio at any given time. If fewer than 10 stocks meet the criteria for portfolio selection, the manager will hold cash.

If you'd like to learn more about the Sheaff Brock Mid-Cap 10 portfolio strategy, feel free to contact us.

Please click here to review Sheaff Brock disclosures about the portfolio strategy information provided.