The TD Ameritrade Institutional Difference

When you choose to work with an independent financial advisor, you are choosing two entities: a partnership with Bakos Investment Management to help you achieve your financial goals, and a custodian who will store and track your wealth.

This appropriate separation of advice-giving from wealth-holding is one of the attractions of working with an independent advisor.

Bakos Investment Management has chosen to work with one of the largest and most well respected custodians in the industry, TD Ameritrade Institutional. TD Ameritrade is one of the leading providers of comprehensive brokerage and custody services and more than 4,000 independent advisors have chosen to work with them.

The Security of Your Assets Is Our Top Priority

With TD Ameritrade, your money is with one of the world’s largest discount brokerage firms, with local branches nationwide. With that comes a commitment to both excellent client service and account information protection.

TD Ameritrade, Inc. is a member of the Securities Investor Protection Corporation (SIPC). Securities in your account are protected up to $500,000. For details, please see http://www.sipc.org. TD Ameritrade also provides $149.5 Million worth of protection for each client through supplemental coverage provided by London insurers. The $149.5 million of coverage includes an additional $900,000 limit on cash in the account. Each client is limited to a combined return of $150 million from a Trustee, SIPC, or London insurers. The TD Ameritrade Insurance Policy does have an aggregate total coverage of $250 million over all customers. This policy provides you coverage against theft following brokerage insolvency and does not protect against loss in market value of the securities.

We’ll Always Keep You Well Informed

You’ll receive a clear, concise statement on a regular basis from TD Ameritrade Institutional that summarizes all of your portfolio positions-stocks, bonds, mutual funds, and cash-including all balance, dividends, and transactions. A duplicate monthly statement is also sent to your advisor.

Service-Oriented

As a client of Bakos Investment Management, your interactions with TD Ameritrade will generally be limited to their easy-to-use website, and to their printed statements. We will handle your customer service needs directly. However, should an unforseen need arise, TD Ameritrade’s calling card is their excellent customer service available from anywhere in the world.

No Compensation for Choosing TD Ameritrade

We do not pay TD Ameritrade, nor do we receive any commissions or other compensation from TD Ameritrade. We are a fee-only advisor, so we are paid exclusively by our clients.

Powerful Resources for Your Advisor

TD Ameritrade offers Bakos Investment Management smart operational solutions, innovative technology, flexible investment products, and above all else, impeccable service. These offerings are designed to support Bakos Investment Management in pursuing your investment goals.

TD Ameritrade understands Bakos Investment Management’s need for innovative and reliable technology that streamlines the entire trading and account management process. Their platform provides Bakos Investment Management with the technology needed to improve efficiencies and better manage your investments-including the ability to place trades, monitor holdings, and access a wealth of research information.

Their broad product offering always give you choices:

• Mutual funds-we can choose from more than 15,000 mutual funds.
• Equities-Choices include foreign and domestic stocks and initial public offerings (IPO’s).
• Fixed-income instruments-We offer a wide variety of bonds, unit investment trusts (UITs), preferred stock, and fixed-rate capital securities.

Trust Bakos Investment Management and TD Ameritrade

TD Ameritrade and Bakos Investment Management are both fully committed to protecting and growing your assets.