Strategies

Fundamentally driven investment process. An active and flexible approach to managing across a variety of market and rate cycles.

Intermediate Total Return Strategy

The strategy seeks to obtain maximum risk-adjusted return consistent with preservation of capital. This is primarily a US focused investment strategy utilizing broad market sectors (US government related, corporate both investment grade and high-yield up to 35% of total assets, and securitized assets) across the yield curve. Average OAD +/- 30% of the Bloomberg US Aggregate Index. Back-to-basics, fundamentally-driven investment process. Utilizing an active and flexible approach to manage across a variety of market and rate cycles.

 

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Short Duration Strategy

Dynamic short-duration bond strategy. Seeking to obtain preservation of capital and risk-adjusted returns. Focused on delivering a high and stable rate of current income. Primarily US focused investments utilizing broad market sectors (US government related, corporate both investment grade and high-yield up to 35% of total assets, and securitized assets) with an average OAD +/- 30% of the Bloomberg 1-3 year Government/Credit Index. Stated final maturity of seven years or less. An active and flexible approach to manage across a variety of market and rate cycles.

 

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Credit Opportunities Strategy

Multi-sector credit strategy. The strategy seeks to obtain maximum total return with a focus on income production. Under normal circumstances, the portfolio may invest at least 80% of its net assets in credit and credit-related instruments, including up to 65% in high yield securities. Back-to-basics, fundamentally-driven investment process. Utilizing an active and flexible approach across a variety of markets and cycles. In addition to investment grade and high yield corporate bonds, the strategy may hold bank loans, preferred and common stock, securitized securities, and other instruments to produce a total return, yield, and, in certain circumstances, to help reduce volatility.

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Balanced Opportunity Strategy

The strategy seeks long-term capital growth, consistent with the preservation of capital and balanced by current income. Normally invests 60% of its assets in equity securities and 40% in fixed-income securities and cash equivalents. The strategy utilizes a flexible and dynamic asset allocation approach to position the portfolio for current and future market conditions, risk factors, and perceived outlook.

Smith Capital Investors in collaboration with a team from ALPS Advisors, led by Laton Spahr manages the Balance Opportunity strategy. Smith Capital Investors is responsible for managing the fixed income portion of the portfolio and works collaboratively on the asset allocation decision.

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