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PRIVILEGED AND CONFIDENTIAL PROPRIETARY INFORMATION
Symbol ETF Name Tracks This Index Index Description Category
iShares MSCI All Country MSCI All Country Asia ex The index measures the performance of 11 developed Asia Pacific
AAXJ
Asia ex Japan Index Fund Japan Index and emerging equity market. Equities
MSCI All Country World MSCI All Country World The Index is designed to measure the performance of
ACWI Global Equities
Index Fund Index global equity markets.
iShares MSCI ACWI ex US MSCI All Country World The index measures the performance of global equity
ACWX Global Equities
Index Fund ex-U.S. Index markets, excluding the United States.
The Index is capitalization-weighted and designed to
PowerShares BLDRS Asia Bank of New York Mellon Asia Pacific
ADRA track the performance of approximately 50 Asian
50 ADR Index Fund Asia 50 ADR Index Equities
market-based depositary receipts.
PowerShares BLDRS Bank of New York Mellon The Index is capitalization-weighted and designed to
Foreign Large Cap
ADRD Developed Markets 100 Developed Markets 100 track the performance of approximately 100
Equities
ADR Index ADR Index developed market-based depositary receipts.
PowerShares BLDRS Bank of New York Mellon The Index is capitalization-weighted and designed to
Emerging Markets
ADRE Emerging Markets 50 Emerging Markets 50 track the performance of approximately 50 emerging
Equities
ADR Index Fund ADR Index market-based depositary receipts.
PowerShares BLDRS The Index is capitalization weighted and designed to
Bank of New York Mellon
ADRU Europe 100 ADR Index track the performance of approximately 100 European Europe Equities
Europe 100 ADR Index
Fund market-based depositary receipts.
Deutsche Bank Liquid The index is designed to reflect the performance of
Commodity Index- certain corn, wheat, soybean and sugar futures Inverse
ADZ DB Agriculture Short ETN
Optimum Yield contracts plus the returns from investing in 3 month Commodities
Agriculture (-100%) United States Treasury Bills.
Symbol ETF Name Tracks This Index Index Description Category
The Index provides exposure to publicly traded
Market Vectors-Africa Dow Jones Africa Titans Emerging Markets
AFK companies that are headquartered in Africa or that
Index ETF 50 Index Equities
generate the majority of their revenues in Africa.
Deutsche Bank Liquid The index is designed to reflect the performance of
DB Agriculture Double Commodity Index- certain corn, wheat, soybean and sugar futures Leveraged
AGA
Short ETN Optimum Yield contracts plus the returns from investing in 3 month Commodities
Agriculture (-200%) United States Treasury Bills.
Deutsche Bank Liquid The index is designed to reflect the performance of
Commodity Index- certain corn, wheat, soybean and sugar futures Agricultural
AGF DB Agriculture Long ETN
Optimum Yield contracts plus the returns from investing in 3 month Commodities
Agriculture United States Treasury Bills.
iShares Barclays Barclays Capital U.S. The index measures the performance of the U.S.
AGG Total Bond Market
Aggregate Bond Fund Aggregate Bond Index investment grade bond market.
ProShares Ultra Silver seeks daily investment results,
before fees and expenses, that correspond to twice
Leveraged
AGQ ProShares Ultra Silver Silver bullion (200%) (200%) the daily performance of silver bullion as
Commodities
measured by the U.S. Dollar fixing price for delivery in
London.
iShares Barclays Agency Barclays Capital U.S. The index measures the performance of the agency Government
AGZ
Bond Agency Bond Index sector of the U.S. government bond market. Bonds
The index measures the performance of 50 leading
Emerging Markets
AIA iShares S&P Asia 50 S&P Asia 50 Index companies from four Asian countries: Hong Kong,
Equities
South Korea, Singapore, and Taiwan.
Diversified Alternatives
ALT n/a This ETF is not linked to a specific benchmark. Hedge Fund
Trust
Symbol ETF Name Tracks This Index Index Description Category
The Alerian MLP Index is a market-cap weighted, float-
adjusted index created to provide a comprehensive
benchmark for investors to track the performance of
JPMorgan Alerian MLP
AMJ Alerian MLP Index the energy MLP sector. The majority of MLPs currently Energy Equities
Index ETN
operate in the energy infrastructure industry, owning
assets such as pipelines that transport crude oil,
natural gas and other refined petroleum products.
The Index is designed to measure the performance of
iShares S&P Aggressive S&P Target Risk Diversified
AOA S&P's proprietary aggressive target risk allocation
Allocation Aggressive Index Portfolio
model
The Index is designed to measure the performance of
iShares S&P Conservative S&P Target Risk Diversified
AOK S&P's proprietary conservative target risk allocation
Allocation Conservative Index Portfolio
model
The Index is designed to measure the performance of
iShares S&P Moderate S&P Target Risk Diversified
AOM S&P's proprietary moderate target risk allocation
Allocation Moderate Index Portfolio
model
iShares S&P Growth S&P Target Risk Growth The Index is designed to measure the performance of Diversified
AOR
Allocation Index S&P's proprietary growth target risk allocation model Portfolio
AirShares EU Carbon
ASO n/a This ETF is not linked to a specific benchmark. Commodities
Allowances
Symbol ETF Name Tracks This Index Index Description Category
The index is a free float-adjusted, market capitalization-
weighted index designed to measure the combined
MSCI ACWI ex US equity market performance of the financials sector of
MSCI All Country World
AXFN Financials Sector Index developed and emerging markets countries, excluding Financials Equities
ex USA Financials Index
Fund the United States. Component securities include those
of banks, diversified financial companies, insurance
companies, and real estate companies.
The index is designed to replicate exposure to local
currencies in eight Asian markets through short-term,
Barclays Global Emerging liquid and diversified instruments. Currently, the index
Barclays GEMS Asia-8
AYT Market Strategy (GEMS) includes the following eight currencies: the Indonesian Currency
ETN
Asia 8 Index rupiah, the Indian rupee, the Philippine peso, the South
Korean won, the Thai baht, the Malaysian ringgit, the
Taiwanese dollar and the Chinese yuan.
The Index is designed to track the performance of U.S.
Build America Bond BofA Merrill Lynch Build dollar-denominated Build America Bonds publicly
BAB National Munis
Portfolio America Bond Index issued by U.S. states and territories, and their political
subdivisions, in the U.S. market.
SPDR Nuveen Barclays The index consists of all direct pay Build America Bonds
Barclays Capital Build
BABS Capital Build America that satisfy the rules of the Barclays Capital Taxable National Munis
America Bond Index
Bond ETF Municipal Index.
iPath Dow Jones-AIG The Dow Jones-UBS Cotton Subindex Total Return is a
Dow Jones-UBS Cotton
BAL Cotton Total Return Sub- single-commodity sub-index currently consisting of one Commodities
Subindex Total Return
IndexSM ETN futures contract on the commodity of cotton.
Health & Biotech
BBH HOLDRS Biotech n/a This ETF is not linked to a specific benchmark.
Equities
Symbol ETF Name Tracks This Index Index Description Category
Deutsche Bank Liquid The index is designed to reflect the performance of
PowerShares DB Base Commodity Index- certain futures contracts on aluminum, copper and zinc Leveraged
BDD
Metals Dble Long ETN Optimum Yield Industrial plus the returns from investing in 3 month United Commodities
Metals (200%) States Treasury Bills.
The Index is a rules-based index composed of futures
Deutsche Bank Liquid
contracts on some of the most liquid and widely used
PowerShares DB Base Commodity Index-
BDG base metals - aluminum, zinc and copper (grade A). Metals
Metals Long ETN Optimum Yield Industrial
The index is intended to reflect the performance of the
Metals
industrial metals sector.
Technology
BDH HOLDRS Broadband n/a This ETF is not linked to a specific benchmark.
Equities
The Russell 1000 Index measures the performance of
the large-cap segment of the U.S. equity universe. It is
Direxion Large Cap Bull Russell 1000 Index a subset of the Russell 3000 Index and includes
BGU Leveraged Equities
3X Shares (300%) approximately 1000 of the largest securities based on a
combination of their market cap and current index
membership.
The Russell 1000 Index measures the performance of
the large-cap segment of the U.S. equity universe. It is
Direxion Large Cap Bear Russell 1000 Index (- a subset of the Russell 3000 Index and includes
BGZ Leveraged Equities
3X Shares 300%) approximately 1000 of the largest securities based on a
combination of their market cap and current index
membership.
Technology
BHH HOLDRS B2B Internet n/a This ETF is not linked to a specific benchmark.
Equities
Ultra Nasdaq NASDAQ Biotechnology The index contains NASDAQ listed companies classified
BIB Leveraged Equities
Biotechnology Index (200%) as either biotechnology or pharmaceuticals companies.
Symbol ETF Name Tracks This Index Index Description Category
The index is designed to track the largest and most
Emerging Markets
BICK BICK Index Fund ISE BICK Index liquid public companies that are domiciled in Brazil,
Equities
India, Mainland China and South Korea.
The S&P BRIC 40 Index includes a subset of the
constituents of the S&P/IFC Investable (S&P/IFCI)
country indices for Brazil, Russia, India or China. The
S&P/IFCI Index series is designed to measure the type
of returns foreign portfolio investors might receive
Emerging Markets
BIK SPDR S&P BRIC 40 S&P BRIC 40 Index from investing in emerging market stocks that are
Equities
legally and practically available to them. Constituents
for the S&P/IFCI series are drawn from the S&P/IFC
Global stock universe based on size, liquidity and their
legal and practical availability to foreign institutional
investors.
The Barclays Capital 1-3 Month U.S. Treasury Bill Index
includes all publicly issued zero-coupon U.S. Treasury
Bills that have a remaining maturity of less than 3
Barclays Capital U.S. 1-3
SPDR Lehman 1-3 Month months and more than 1 month, are rated investment
BIL Month Treasury Bill Money Market
T-Bill ETF grade, and have $250 million or more of outstanding
Index
face value. In addition, the securities must be
denominated in U.S. dollars and must be fixed rate and
non convertible.
UltraShort Nasdaq NASDAQ Biotechnology The index contains NASDAQ listed companies classified
BIS Leveraged Equities
Biotechnology Index (-200%) as either biotechnology or pharmaceuticals companies.
Symbol ETF Name Tracks This Index Index Description Category
This index includes all medium and larger issues of U.S.
Barclays Capital U.S. 5-10 government, investment-grade corporate, and
Vanguard Intermediate-
BIV Year Government/Credit investment-grade international dollar-denominated Total Bond Market
Term Bond ETF
Bond Index bonds that have maturities between 5 and 10 years
and are publicly issued.
The Index provides exposure to publicly traded
Market Vectors Gaming S-Network Global Miscellaneous
BJK companies worldwide that derive greater than 50% of
ETF Gaming Index Sector Equities
revenues from the global gaming industry.
iShares MSCI BRIC Index The index measures the combined equity market Emerging Markets
BKF MSCI BRIC Index
Fund performance in Brazil, Russia, India, and China. Equities
The Barclays Capital Long Government/Credit Index
measures the investment return of all medium and
Barclays Capital U.S. Long larger public issues of U.S. Treasury, agency,
Vanguard Long-Term
BLV Government/Credit Bond investment-grade corporate, and investment-grade Total Bond Market
Bond ETF
Index international dollar-denominated bonds with
maturities longer than 10 years. The average maturity
is approximately 20 years.
Vanguard Total Bond Barclays Capital U.S. The index measures the performance of the U.S.
BND Total Bond Market
Market ETF Aggregate Bond Index investment grade bond market.
WisdomTree Dreyfus New Zealand Dollar Fund seeks
to achieve total returns reflective of both money
WisdomTree Dreyfus
BNZ New Zealand Dollar market rates in New Zealand available to foreign Currency
New Zealand Dollar Fund
investors and changes in value of the New Zealand
Dollar relative to the U.S. dollar.
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
iShares 0.74% $0.36 1.84% $1,687.89 31 527,890 1 Equity
iShares 0.35% $0.36 1.41% $1,176.64 30 379,781 1 Equity
iShares 0.35% $0.52 1.47% $654.07 17 161,924 1 Equity
Invesco
0.23% $0.19 1.43% $44.44 2 9,980 1 Equity
PowerShares
Invesco
0.30% $0.28 5.83% $62.38 3 13,461 1 Equity
PowerShares
Invesco
0.30% $0.27 2.47% $617.46 15 154,659 1 Equity
PowerShares
Invesco
0.30% $0.29 7.47% $20.17 1 6,431 1 Equity
PowerShares
Invesco
0.75% $0.00 0.00% $3.78 0 2,378 (0) Commodity
PowerShares
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
Van Eck 0.83% $0.19 0.66% $54.33 2 14,431 1 Equity
Invesco
0.75% $0.00 0.00% $9.30 0 3,476 (1) Commodity
PowerShares
Invesco
0.75% $0.00 0.00% $4.32 0 2,353 0 Commodity
PowerShares
iShares 0.24% $0.31 3.85% $11,688.03 110 730,396 0 Bond
ProShares 0.95% $0.00 0.00% $171.48 3 472,682 0 Commodity
iShares 0.20% $0.17 0.24% $318.54 3 20,862 (0) Bond
iShares 0.50% $0.34 2.31% $146.68 4 29,240 1 Equity
iShares 0.95% $0.00 0.00% $54.64 1 28,702 - Multi-Asset
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
JP Morgan 0.85% $0.45 1.41% $1,276.00 40 531,331 0 Equity
iShares 0.34% $0.21 2.35% $43.95 2 13,702 1 Multi-Asset
iShares 0.31% $0.08 2.87% $34.40 1 10,604 0 Multi-Asset
iShares 0.32% $0.17 2.11% $54.61 2 15,360 0 Multi-Asset
iShares 0.33% $0.20 2.39% $55.57 2 14,174 0 Multi-Asset
XShares 0.85% n/a n/a n/a n/a n/a n/a Commodity
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
iShares 0.48% $0.00 0.00% $2.19 0 1,764 0 Equity
Barclays iPath 0.89% $0.08 5.44% $5.43 0 1,940 1 Currency
Invesco
0.35% $0.12 0.00% $329.75 13 214,777 (0) Bond
PowerShares
State Street 0.35% $0.24 0.00% $9.92 0 13,151 - Bond
Barclays iPath 0.75% $0.00 0.00% $9.04 0 6,213 1 Commodity
Merrill Lynch
n/a $0.02 0.03% $720.20 8 62,246 0 Equity
HOLDRs
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
Invesco
0.75% $0.00 0.00% $16.45 1 76,213 1 Commodity
PowerShares
Invesco
0.75% $0.34 0.00% $3.87 0 1,960 1 Commodity
PowerShares
Merrill Lynch
n/a $0.00 1.39% $81.50 8 14,537 1 Equity
HOLDRs
Direxion 0.95% $0.06 0.34% $247.81 6 5,638,810 2 Equity
Direxion 0.95% $0.00 0.00% $259.28 16 8,984,130 (2) Equity
Merrill Lynch
n/a $0.34 0.00% $5.90 9 35,715 1 Equity
HOLDRs
ProShares 0.95% $0.00 0.00% $4.22 0 2,457 0 Equity
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
First Trust 0.70% $0.00 0.00% $9.86 0 12,085 0 Equity
State Street 0.50% $0.29 1.79% $407.66 17 146,463 1 Equity
State Street 0.13% $0.00 0.03% $990.36 22 624,794 (0) Bond
ProShares 0.95% $0.00 0.00% $7.70 0 1,465 (0) Equity
Market Cap Shares
Provider Expense Ratio Dividend Div Yield (millions) (millions) Avg Vol Beta Asset Class
Vanguard 0.14% $0.27 4.20% $1,697.48 20 165,798 0 Bond
Van Eck 0.65% $0.23 0.97% $103.66 4 20,969 1 Equity
iShares 0.72% $0.40 1.55% $931.38 22 243,433 1 Equity
Vanguard 0.14% $0.32 4.96% $396.90 5 59,705 (0) Bond
Vanguard 0.14% $0.23 3.91% $7,630.57 94 724,885 0 Bond
Wisdom Tree 0.45% $0.13 0.58% $18.02 1 11,111 1 Currency
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
Pacific ex-Japan click click
Global/Multi-
Large-Cap Blend click click
Region
Large-Cap Blend Ex-U.S. click click
Asia click click
Developed
Large-Cap Blend click click
Markets
Emerging
Large-Cap Blend click click
Markets
Europe click click
Yes click click
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
Africa click click
2x Yes click click
click click
click click
2x click click
click click
Asia click click
click click
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
U.S. Energy click click
click click
click click
click click
click click
click click
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
Large-Cap Ex-U.S. Financial click click
click click
U.S. click click
click click
click click
Global/Multi- Health &
click click
Region Biotech
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
2x click click
click click
U.S. Technology click click
Large-Cap Blend U.S. 3x click click
Large-Cap Blend U.S. 3x Yes click click
U.S. Technology click click
Health &
U.S. 2x click click
Biotech
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
Emerging
Large-Cap Blend click click
Markets
BRIC click click
click click
Health &
U.S. 2x Yes click click
Biotech
Asset Class Size Asset Class Style Region Sector Leveraged Inverse Top Holdings Chart
click click
Global/Multi- Retail &
click click
Region Consumer
BRIC click click
click click
click click
click click