Alternatives Exchange

WHY THE ALTERNATIVES EXCHANGE?

The Alternatives Exchange provides alternative investment curation and a breadth of offerings to clients via single sign-on from the Envestnet Platform.

Powered by iCapital, the standard for technology solutions in the HNW alternatives marketplace, and UBS, a global financial services institution with over 150 years managing wealth for affluent clients, this unique partnership will provide advisors using the Envestnet platform with a seamless experience to reach an extensively-researched and curated alternative investment offerings from the Advisor Launchpad.

For more information about the Alternatives Exchange, please contact the Envestnet Wealth Solutions team at [email protected] or click the button below to schedule a demo of the platform.

Schedule a Demo

The Alternatives Exchange Offers Access to:

Private Markets

Private Equity
Private Credit
Private Real Estate

Hedge Funds

Long/Short Equity
Managed Futures
Global Macro
Event Driven
Long/Short Credit

WHY ALTS?

Advisory firms and their high-net-worth clients continue to look for innovations and opportunities in alternative investments to meet the growing demand for greater diversification, and alternative sources of return and income, with less correlated asset classes.

An Alternative To Traditional Allocations

Allocating outside of the public markets is more important than ever.*

Fixed income yields are at record lows

Correlations between traditional asset classes are rising

Inflation is elevated

Capital market assumptions are predicting a lower return environment

Clients face the prospect of not meeting investment goals

*Source: The Future Is Private: Unlocking the Art of Private Equity in Wealth Management

ABOUT THE ALTERNATIVES EXCHANGE

The Alternatives Exchange is an industry-first partnership with UBS, iCapital and Envestnet’s technology platform. The Alternatives Exchange provides advisors with easy access to an extensively-researched alternative investment menu, along with research, education and support throughout the investment process.

Industry-leading Digital Wealth Technology Platform Provider

105k Independent Advisors and $5.0tn in platform assets*
Scalable advisory platform that provides access to a wide variety of investment vehicles used to personalize client portfolios

*As of June 30, 2022. Includes accounts/assets under management, administration, and subscription arrangements.

Leading Global Wealth Manager

Dedicated product specialist and support coverage model to empower advisors
Industry leading research, market perspectives and insights from wealth management and investment banks
Global product and service capabilities and Advisor sales/service/practice management experience

Leading Technology and Service Solution for Alternatives

Customized technology, service, advisory and distribution solution
Alternative investments accessible to wealth advisors and their high-net-worth investors

HOW DOES THE ALTERNATIVES EXCHANGE WORK?

The Alternatives Exchange is an end-to-end alternative investment platform powered by iCapital that can be accessed through the Envestnet Platform.

Fund highlights and key information

Review comprehensive reports and documentation for available offerings via online fund profiles and data rooms in addition to educational materials such as webinars, strategy & market overviews, legal documents, and fund presentations.

Client management portal

Navigate the investment process: client profiles are auto-filled into subscription documents, making the process automated. Investor Relations specialists are available to provide support at every step along the way.

Administration and reporting

Manage holdings, and retain documentation to support compliance requirements and client servicing needs over the life of an investment with online access to all subscription documents, real-time data on each investor’s holdings, and automated alerts.

ADVISOR MANAGEMENT PORTAL

Digital Client Experience and Automated Subscription Process

One-time setup of client profiles to autofill all subscriptions
Transparency into the subscription process at every step

E-sign and e-delivery eliminates paper, fax, and snail mail
Optional online remediation, user alerts, and audit trail

Automated subscription process:

STEP ONE

Advisor is onboarded and creates investor profile for clients

STEP TWO

Advisor reviews and selects funds with client

STEP THREE

Subscription docs are automatically created

STEP FOUR

Advisor and investor review & sign subscription electronically

STEP FIVE

Approved subscriptions are electronically submitted

STEP SIX

Records are maintained on the iCapital platform and submitted to fund administrator or transfer agent

Alternatives Exchange

For more information please contact the Envestnet Wealth Solutions team at: [email protected]

To learn more about the Alternatives Exchange via the Envestnet Platform, please schedule a one-on-one demo with the Envestnet Wealth Solutions.

Important Information

This material is provided for informational purposes only and is not intended as, and may not be relied on in any manner as legal, tax or investment advice, a recommendation, or as an offer to sell, a solicitation of an offer to purchase or a recommendation of any interest in any fund or security offered by Institutional Capital Network, Inc. or its affiliates (together “iCapital”).

Past performance is not indicative of future results. Alternative investments are complex, speculative investment vehicles and are not suitable for all investors. An investment in an alternative investment entails a high degree of risk and no assurance can be given that any alternative investment fund’s investment objectives will be achieved or that investors will receive a return of their capital. The information contained herein is subject to change and is also incomplete. This industry information and its importance is an opinion only and should not be relied upon as the only important information available. Information contained herein has been obtained from sources believed to be reliable, but not guaranteed, and iCapital assumes no liability for the information provided.

Products offered by iCapital are typically private placements that are sold only to qualified clients of iCapital through transactions that are exempt from registration under applicable securities laws, including the Securities Act of 1933 pursuant to Rule 506(b) of Regulation D promulgated thereunder (“Private Placements”). An investment in any product issued pursuant to a Private Placement, such as the funds described, entails a high degree of risk and no assurance can be given that any alternative investment fund’s investment objectives will be achieved or that investors will receive a return of their capital. Further, such investments are not subject to the same levels of regulatory scrutiny as publicly listed investments, and as a result, investors may have access to significantly less information than they can access with respect to publicly listed investments. Prospective investors should also note that investments in the products described involve long lock-ups and do not provide investors with liquidity.

Securities may be offered through iCapital Securities, LLC, a registered broker dealer, member of FINRA and SIPC and subsidiary of Institutional Capital Network, Inc. (d/b/a iCapital). These registrations and memberships in no way imply that the SEC, FINRA or SIPC have endorsed the entities, products or services discussed herein. iCapital is a registered trademark of Institutional Capital Network, Inc. Additional information is available upon request.

Important Information About UBS Independent Advisor Solutions and certain UBS products and services

Independent investment advisers (RIAs) and broker-dealers (BDs) participating on the UBS Independent Advisor Solutions platform (Platform) or accessing UBS curated products through other platforms are not employees, independent contractors or agents of UBS. RIAs and BDs are (i) required to have sophistication, expertise and investment knowledge necessary to evaluate investments and investment risks and make informed investment decisions; (ii) required to exercise independent judgment in evaluating investments and any information provided by UBS; and (iii) ensure that its receipt of services from UBS and other firms that make products and services through the Platform is consistent with (as applicable) its Investment Adviser fiduciary obligations and/or Regulation Best Interest obligations. Certain products and services are available through iCapital, which is solely responsible for its products and services. Certain services are accessible via the Envestnet platform and such services are the responsibility of Envestnet.

Access to UBS curated products through the Envestnet platform is subject to each RIA and BD entering into an additional agreement with Envestnet that, among other things, designates UBS as third-party beneficiary to the agreement.

About Asset Management: UBS Asset Management entities in the United States include [UBS Asset Management (Americas) Inc., UBS O’Connor LLC, UBS Hedge Fund Solutions LLC and UBS Realty Investors LLC],

which are registered with the U.S. Securities and Exchange Commission (“SEC”) as investment advisers pursuant to the Investment Advisers Act of 1940, as amended (“Advisers Act”).

About Banking and lending solutions by UBS Bank USA: UBS Bank USA – Member FDIC – Equal Housing Lender. NMLS #947868.Deposits are insured by the FDIC up to $250,000 per ownership category (e.g., single, joint). Deposits are aggregated by ownership category for purposes of FDIC insurance. A UBS securities account is required to deposit funds at UBS Bank USA.

About Alternative Investments

Interests of alternative investment funds (the “Funds”) are sold only to qualified investors, and only by means of offering documents that include information about the risks, performance and expenses of the Funds, and which prospective investors are urged to read carefully before subscribing. This is not an offer to sell any interests of any Fund, and is not a solicitation of an offer to purchase them. An investment in a Fund is speculative and involves significant risks. The Funds are not mutual funds and are not subject to the same regulatory requirements as mutual funds. The Funds’ performance may be volatile, and investors may lose all or a substantial amount of their investment in a Fund. The Funds may engage in leveraging and other speculative investment practices that may increase the risk of investment loss. Interests of the Funds typically will be illiquid and subject to restrictions on transfer. The Funds may not be required to provide periodic pricing or valuation information to investors. Fund investment programs generally involve complex tax strategies and there may be delays in distributing tax information to investors. The Funds are subject to high fees, including management fees and other fees and expenses, all of which will reduce profits. The Funds may fluctuate in value. An investment in the Funds is long-term, there is generally no secondary market for the interests of the Fund, and none is expected to develop. Interests in the Funds are not deposits or obligations of, or guaranteed or endorsed by, any bank or other insured depository institution, and are not federally insured by the Federal Deposit Insurance Corporation, the Federal Reserve Board, or any other governmental agency. Prospective investors should understand these risks and have the financial ability and willingness to accept them for an extended period of time before making an investment in a Fund. Investors should consider a Fund as a supplement to an overall investment program.

Important Information About Envestnet Products and Services

The services and materials described herein are provided on an ‘as is’ and ‘as available’ basis, with all faults. Graphical illustrations herein do not represent client information or actual investments. Nothing contained in this presentation is intended to constitute legal, tax, accounting, securities, or investment advice, nor an opinion regarding the appropriateness of any investment, nor a solicitation of any type. Envestnet disclaims all warranties, express or implied, including, without limitation, warranties of merchantability or fitness for a particular purpose, title, non-infringement or compatibility. Envestnet makes no representation or warranties that access to and use of the internet while utilizing the services as described herein will be uninterrupted or error-free, or free of viruses, unauthorized code or other harmful components. Envestnet reserves the right to add to, change, or eliminate any of the services and/or service levels listed herein without prior notice to the advisor or the advisor’s home office.
This document refers to information products or services that may be in development and not yet available. Accordingly, nothing in this presentation should be construed as a representation or legal agreement by Envestnet to make available specific products or services (including, without limitation, concepts, systems or techniques.)
Envestnet is acting in the capacity of technology solution provider only and does not conduct research or due diligence on alternative investments. Advisors should always conduct their own research and due diligence on investment products and the product managers prior to offering or making a recommendation to a client.
Envestnet does not have a fiduciary relationship with the investor or perform suitability reviews to determine the appropriateness of the investments for the investor. Envestnet does not perform fund valuation.

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