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Third Day Advisors
Aggressive Strategy
Ultra Aggressive Strategy
S&P Plan


The Third Day Aggressive, Ultra Aggressive, and S&P Plan Strategies are tailored for aggressive investors who want to diversify their portfolios by adding a leveraged investment with both a long and short market exposure.  The Third Day trading model is a proprietary blend of trend-following, momentum and overbought/oversold indicators developed by Third Day’s founder, Ken Whitley.  The model is 100% mechanical, though Ken does reserve the right to override any signal in case of a special circumstance such as a national emergency.

Third Day uses the Rydex OTC 2x Strategy and Inverse OTC 2x Strategy Funds exclusively in the Strategies. These funds seek returns approximating 200% of the daily performance of the NASDAQ 100 Index, with the OTC 2x Strategy Fund providing the positive (long) correlation and the Inverse OTC 2x Strategy Fund providing the negative (short) correlation. In the S&P Plan, Third Day uses the S&P 500 2x Strategy and Inverse S&P 500 2x Strategy Funds that seek a similar exposure to the S&P 500 Index.

All of the Third Day Strategies use the same trading model, and differ only to the extent to which they are invested.  The Aggressive Strategy will invest only up to 75% of the account, providing a 150% market exposure, while the Ultra Aggressive and S&P Plan Strategies will invest up to 100% of an account, providing a 200% exposure.  Maximum allocations are rare, and each program is expected to be 100% in cash (money market fund) approximately 30% to 40% of the time, based on historical performance.

Third Day Strategies’ historical returns show little correlation to the major stock market indexes or other Advisors recommended in the AdvisorLink® Program.  Thus, the Aggressive, Ultra Aggressive, and S&P Plan Strategies may be used very effectively in combination with the other actively managed investments offered by Halbert Wealth Management. Past results are not necessarily indicative of future results. See Important Notes below.

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Third Day
Aggressive
Strategy
Third Day
Ultra
Aggressive
Strategy
Third Day
S&P Plan
S&P 500 Nasdaq 100
Index
1-year
1.01
(5.14)
0.67
53.25
62.82
2-year
1.68
(1.46)
(0.05)
(6.80)
2.08
3-year
(3.98)
(9.15)
3.34
(5.75)
1.07

Actual performance record (annualized) as of February 28, 2010.


IMPORTANT NOTES: Halbert Wealth Management, Inc. (HWM) and Third Day Advisors, LLC (“TDA”) are Investment Advisors registered with the SEC and/or their respective states.  Information in this report is taken from sources believed reliable but its accuracy cannot be guaranteed. Any opinions stated are intended as general observations, not specific or personal investment advice.  Please consult a competent professional and the appropriate disclosure documents before making any investment decisions. Investments mentioned involve risk, and not all investments mentioned herein are appropriate for all investors.  HWM receives compensation from TDA in exchange for introducing client accounts.  For more information on HWM or TDA, please consult Form ADV Part II, available at no charge upon request. Officers, employees, and affiliates of HWM may have investments managed by the Advisors discussed herein or others.

As benchmarks for comparison, the Standard & Poor’s 500 Stock Index (which includes dividends) and the NASDAQ 100 Index represent an unmanaged, passive buy-and-hold approach.  The volatility and investment characteristics of these benchmarks cited may differ materially (more or less) from that of Third Day programs since they are unmanaged Indexes which cannot be invested in directly. The performance of the S & P 500 Stock Index and the NASDAQ 100 is not meant to imply that investors should consider an investment in the Third Day programs, which are actively managed, as comparable to an investment in the “blue chip” stocks that comprise the S & P 500 Stock Index or 100 of the largest non-financial stocks listed on The NASDAQ Stock Market that comprise the NASDAQ 100.  Historical performance data represents actual accounts in programs named Third Day Aggressive Plan, Third Day Ultra Aggressive Plan and Third Day S&P 500 Plan, all custodied at Rydex Series Trust, and verified by Theta Investment Research, LLC. These results reflect actual trades in proprietary accounts of the Advisor, managed to mimic the Advisor’s trading signals.  The results may not reflect the performance of actual client accounts due to contributions and withdrawals from client accounts, tax loss sales, client-imposed investment restrictions and other factors. These performance numbers have not been verified by HWM and therefore HWM is not responsible for their accuracy. The signals are generated by the use of proprietary models developed by Third Day Advisors, with the objective of using leveraged long and short market exposure to generate profitable trades. Statistics for “Worst Drawdown” are calculated as of month-end.  Drawdowns within a month may have been greater. PAST RESULTS ARE NOT NECESSARILY INDICATIVE OF FUTURE RESULTS.  Mutual funds carry their own expenses which are outlined in the fund’s prospectus.  An account with any Advisor is not a bank account and is not guaranteed by FDIC or any other governmental agency.

When reviewing past performance records, it is important to note that different accounts, even though they are traded pursuant to the same strategy, can have varying results.  The reasons for this include: i) the period of time in which the accounts are active; ii) the timing of contributions and withdrawals; iii) the account size; iv) the minimum investment requirements and/or withdrawal restrictions; and v) the rate of brokerage commissions and transaction fees charged to an account. There can be no assurance that an account opened by any person will achieve performance returns similar to those provided herein for accounts traded pursuant to the Third Day programs.

In addition, you should be aware that (i) the Third Day programs are speculative and involve a high degree of risk; (ii) the Third Day programs’ performance may be volatile; (iii) an investor could lose all or a substantial amount of his or her investment in the programs; (iv) Third Day will have trading authority over an investor’s account and the use of a single advisor could mean lack of diversification and consequently higher risk; and (v) the Third Day programs’ fees and expenses (if any) will reduce an investor’s trading profits, or increase any trading losses.

Returns illustrated are net of the management fees, custodial fees, underlying mutual fund management fees, and other fund expenses such as 12b-1 fees.  Management fees are deducted from the account on a quarterly basis, and are not accrued monthly. They do not include the effect of annual IRA fees or mutual fund sales charges, if applicable. No adjustment has been made for income tax liability.  Consult your tax advisor.  “Annualized” returns take into account compounding of earnings over the course of an investment’s actual track record. Dividends and capital gains have been reinvested. Money market funds are not bank accounts, do not carry deposit insurance, and do involve risk of loss.  The results shown are for a limited time period and may not be representative of the results that would be achieved over a full market cycle or in different economic and market environments.
 

 

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11719 Bee Cave Road, Suite 200 • Austin, Texas 78738
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