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Investment Analytics

PROFIT & LOSS ANALYSIS

SUPPLEMENTAL ANALYSIS

ADDITIONAL DATA SERVICES

PRELIMINARY ACCOUNT EVALUATION (PAE)

At SFS we understand the unique requirements of our clients, and have created and implemented technical innovations and solutions that:

  • accelerate the process of data entry, conversion, and analysis production;
  • are uniquely designed for arbitration presentation and ease of review and strategy;
  • provide high impact presentation charts and data graphs;
  • allow immediate delivery of documents in PDF format;
  • encourage direct downloading of client data to the SFS analysis system.

Secure Financial Services is the leader in providing accurate and timely Profit & Loss reports for securities and commodities accounts to the financial and legal communities. SFS produces a wide-range of specialized analytics to supplement the initial P&L, and is able to customize reports for our clients nationwide. A quick look into account performance is available with the Preliminary Account Evaluation.

With a full-time staff of skilled analysts, we work with clients on their projects from start to finish and are able to meet the demanding deadlines and schedules required. Throughout the process, clients are given the highest level of care and priority.

To find out more or to order a securities account analysis, please contact us.

Phone: toll free 888-729-1700 (Monday – Friday 9:00 am – 5:00 pm EST)
Email:

 

A sample profit and loss analysis and the entire range of additional account analysis reports also available from SFS will be sent to you free of charge upon request. The package will be sent by express mail, so please include a shipping address and contact telephone number in your request.



PROFIT & LOSS ANALYSIS

To view one of the Sample Reports listed below, you will need ADOBE READER®.

A Profit and Loss Analysis (P&L) is a comprehensive review of an investment portfolio’s activity during a specified time frame. The SFS P&L is derived from an account’s monthly statements and transactions and includes several individually powerful reports. Each P&L prepared by SFS is available in two formats:

A digital copy of an account's P&L is sent by electronic mail as a Portable Document Format (PDF). To view and print your PDF files, you must have Adobe Reader® installed on your computer. If your email server is not able to receive large documents, please let us know so we can adjust the size of the document(s) we send you, or we can just send you the paper hard copy only.

A hard copy of an account's P&L is produced by request only, and is neatly organized in a black three-ring binder with the fifteen reports separated by tabbed dividers. Case and account names and numbers are listed on the binder's cover, spine, and inside title page. The binder format allows the user to easily add in new pages as an account is updated with new data, and add additional information sheets as needed. Binders are shipped by express mail, and additional copies are available for an additional charge.


The standard SFS Profit & Loss Analysis includes the following reports:

Annual Profit/Loss
Profit / (Loss) of the account for each year that it was open.

Total Investment Summary
Reconciliation of cash activity and investment-generated activity.

Trade Transactions Return on Investment (ROI)
Investment activity by issue, showing trade gain/loss, income, and net return on investment.

Trade Transactions Return on Investment (ROI) - Summary
Trade gain/loss summarized by issue type (Equity, Bond, Mutual Fund, etc.)

Trade Transactions Return on Investment (ROI) - Detail Summary
Trade gain/loss summarized by investment, grouped by issue type.

Cash Transactions
All cash transactions grouped by type (Deposit, Withdrawal, Interest, etc.)

Cash Transactions Chronology
Chronological listing of all cash transactions.

Trade Transactions Chronology
Chronological listing of all trade transactions.

Income Summary
Schedule showing all income grouped by investment.

Monthly Profit / (Loss)
Schedule showing monthly cash flow and monthly and cumulative profit/loss.

Turnover
Schedule showing monthly market, cash and equity values, with yearly turnover by market and equity values and average annualized turnover.

Cost Maintenance Factor
Ratios of commissions and total costs to equity and market values.

Cumulative Profit / (Loss)
Cumulative P&L as calculated in the Monthly P&L report graphed over the life of the account.

Month End Equities
Account equity graphed over the life of the account.

 

A Profit and Loss Analysis can be customized with:

  • Truncated Time Frames - To create a subset of the full analysis.
  • Custom Valuations - To utilize client-supplied data or other available resources.
  • Selected Data Elements - To remove or add particular information from/to a report.
  • Custom Formats - To create custom presentation formats, i.e. logo, text, dates.

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SUPPLEMENTAL ANALYSES AVAILABLE

To view one of the Sample Reports listed below, you will need ADOBE READER®.

In order to better understand the story behind the P&L numbers, Secure Financial Services, Inc. offers additional reports that can be of assistance in seeing the affects of the market at work, and can be used as an aid to mitigate any damage number.

Alternative Investment Strategy
The Alternative Investment Strategy measures the difference between actual account performance and various alternative allocations over time. This analysis illustrates how the investment would have performed if funds were invested in various strategies consisting of any mix of Stocks, Mutual Funds, Bonds, Indexes, etc. The construction of this alternative portfolio is typically used in areas relating to portfolio management and suitability.

Issue Analysis
Issue Analysis is a color-coded, combined report. It is especially useful when there are a limited number of investments at issue within a large account, or when they are held across multiple accounts.
- Combined Trade Chronology
- Combined Trade ROI Detail
- Combined Trade Transactions

Combined P&L
Accounts that are with the same firm, and between which 100% of the assets are transferred, are automatically combined for the standard P&L. However, any number of accounts may be combined to produce a single P&L.

Concentration Analysis
The Concentration Analysis is designed to graphically present the month-to-month allocation of investments in a portfolio, to different levels of detail. Portfolio allocation may be illustrated by (in increasing level of detail):
- Industry Sector (technology, consumer, industrial, financial, etc.)
- Industry Group (semiconductor, computer hardware, telecom, etc.)
- Industry Subgroup (Electronic Compo-Semicon, Computers-Integrated Sys, etc.)
- Individual Equity Issue/Fund

All concentration analysis graphs include an overlaid line graph of the cumulative P&L for the account that is calculated in the standard P&L. This is a useful aid to the user in correlating changes in portfolio concentration to overall account performance and would be appropriate for claims involving suitability and issues of investment concentration. The concentration analysis graphs may also be overlaid with your choice of investment indices, such as the S&P 500, NASDAQ, or Russell 2000.

Firm Initiated Position Analysis
Quantifies account-trading activity and assigns account performance responsibility. The compelling feature of the report distinguishes the total trading gain/loss for firm, client, or broker-initiated positions from the total trading gain/loss for those positions transferred into the firm.

Index Concentration Comparison
Graphic comparisons of securities accounts with known market indices can provide powerful support for your individual case strategy. Quickly and easily compare the composition of your account directly to the composition of a major market index (in our example, the S&P 500 is used), over a specific period of time, by sector or individual stock.

Open/Close Analysis
An effective schedule showing trade matches on a first-in/first-out basis, with net trading result and days held.

Option Strategy Analysis
Option strategy analyses combine options and common stock, rolled back to trade dates, making it easy to decipher buy-writes, spreads, straddles, and various other option strategies.

Performance Analysis
The Performance Analysis provides cumulative monthly P&L results (or daily P&L results, provided a Daily P&L has been completed), charted against the daily closing of one or more index values (such as the S&P 500, NASDAQ, Russell 2000, etc). This can help confirm or refute core liability issues in a case. This high-impact graphic analysis provides a clear and compelling visual interpretation of portfolio performance versus commonly accepted industry indices.

Performance Comparison Analysis
This high-impact data chart quickly communicates essential elements of case liability and damage issues, providing a clear and compelling illustration of portfolio performance versus multiple commonly accepted industry indices that are color-coded and on one chart.

Realized/Unrealized Analysis
This analysis isolates all trading activity (bought/sold) in an account and the resulting
profit/loss. Unrealized activity includes any issue where a transaction was marked to the market.

Risk Exposure Analysis
Available for accounts holding either options or equity issues, the Risk Analysis report details the difference between the strike price of the investment and cash required to cover various investment strategies. This report can easily be prepared in a graphic format, clearly presenting the relative risk of selected investment strategies.

Solicited/Unsolicited Analysis
Segmenting trading activity by trade type (solicited / unsolicited) can offer a unique perspective on investment strategy and liability issues.

What-If Scenarios
This suite of reports allows the user to create additional "hypothetical analyses," comparing a hypothetical investment strategy to actual portfolio performance. Examples of what-if scenarios include:

  • What-if held issues - Track performance of liquidated securities had they instead been held during the total investment time period.

  • What-if price issues - Track inferred performance of a portfolio based on pricing equities at various levels.

  • What-if timing issues - Track hypothetical account performance based on trading activity undertaken at various time periods (with time sensitive equity pricing).

What-if scenario data can be exported to a variety of charting/graphic programs to create highly effective presentation materials.

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ADDITIONAL DATA SERVICES

 

Custom Research using Bloomberg and Morningstar Data
Custom research and data entry capabilities beyond those of the typical securities case are available through SFS. With a variety of resources within and outside of the company, we can help design a research program to get you the information you need. Class action cases involving extensive analytics, fee and salary analysis, pricing behavior, and predictive modeling are just some of the areas SFS analysts are able to work with. Through high volume data entry projects utilizing a variety of publicly available sources, including Bloomberg and Morningstar, we have developed proprietary data resources including historic annuity pricing. With accomplished data entry capabilities and effective presentation techniques, SFS can help you make your next project a success.

Excel Data Extract
SFS has the capability to export all available data into a Microsoft Excel spreadsheet format, enabling the client to perform their own data reorganization and customized review. It should be noted that SFS is unable to authenticate client analyses performed in this manner.

Bloomberg Research
The functionality of the Bloomberg database can be a powerful tool in preparing various investment analyses and exhibits. From comparative equity charting to historical pricing, SFS has the research specialists on staff to assist you in utilizing this vast repository of data and information.

For request more information, .

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PRELIMINARY ACCOUNT EVALUATION (PAE)

Available only through the SFS software on-demand service, the PAE provides a snapshot of account performance, without the time and expense of preparing a full P&L. In either an overall or yearly or summary format, this analysis clearly presents an assortment of data from monthly account statements including cash balances, equity values, margin interest charges and other information to provide a concise report, detailing net out-of-pocket results and annualized portfolio turnover. The PAE quickly quantifies the relative performance of an investment account, enabling clients to determine the most appropriate course of action moving forward, at a minimal cost. The PAE can also be tailored to present essential data elements in a customized format to meet specific client needs.

Sample OVERALL PAE SUMMARY. ......Sample YEARLY PAE SUMMARY.

To find out more about the Preliminary Account Evaluation service, please contact us.

Phone: toll free (888) 729-1700 (Mon-Fri 9 am to 5 pm EST)
Email:


To find out more about the Investment Analytical Services available from Secure Financial Services, Inc., please contact us.

Phone: toll free 888-729-1700 (Monday - Friday 9:00 am to 5:00 pm EST)
Email:

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Secure Financial Services, Inc.
97 Blakely Road, Suite 107
Colchester, VT 05446
802-879-2077