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  • Portfolio Monitor

    Monthly Report for Matthew Tae

    November 04, 2014

    2014 Thesis Portfolio

    ? © 2013 Morningstar, Inc. All Rights Reserved. The information contained herein: (1) is proprietary to Morningstar and/or its content providers; (2) may not be copied or distributed to any third party; (3) is not warranted to be accurate, complete or timely; (4) is only for personal, noncommercial use of the individual generating it; (5) does not constitute investment advice of any kind; (6) is being furnished by Morningstar solely in its capacity as a third-party research provider; and (7) may not be used as sale literature of any kind.

  • Market Value

    0

    29

    58

    87

    $116K

    12-13 01-14 02-14 03-14 04-14 05-14 06-14 07-14 08-14 09-14 10-14 11-14

    $3,066K

    2,555

    2,044

    1,533

    1,022

    511

    Years 5 10 20 30

    75% Chance 116,752 143,930 234,466 397,141

    50% Chance 155,425 215,715 415,526 800,415

    25% Chance 206,910 323,303 736,403 1,613,190

    Generated on November 04, 2014

    Performance Overview | 2014 Thesis Portfolio | October 05, 2014 - November 04, 2014

    2014 Thesis Portfolio

    Personal Personal Return % of Mutual Fund Reporting Morningstar Rating This Period Outperformed Period

    . 0.11% — —

    Portfolio Performance

    1-Wk 1-Mo 3-Mo YTD 1-Yr 3-Yr* 5-Yr* 10-Yr* Sin. Purch*

    Total Return % 0.17 –0.93 2.10 12.17 — — — — 12.17

    Personal Return % 1.14 0.11 3.70 13.48 — — — — 13.48

    US Market Index Return % 0.90 2.03 3.14 8.72 — — — — 8.72

    *Annualized

    Top 5 Gainers Name Morningstar Rating Price $ Market Value $ 1-Mo Return %

    Bristol-Myers Squibb Company x QQ 57.88 0.00 13.68 Apple Inc QQQ 108.16 5,408.00 8.75 Kroger Co Q 56.75 2,837.50 7.32 SPDR® S&P 500 ETF QQQQ 200.22 48,052.80 2.62

    Top 5 Losers Name Morningstar Rating Price $ Market Value $ 1-Mo Return %

    Twitter Inc h QQQ 40.77 4,077.00 –10.25 Health Care Select Sector SPDR ... QQQ 67.03 0.00 –9.29 Financial Select Sector SPDR® ... QQ 23.77 0.00 –8.93 Molson Coors Brewing Co QQ 74.00 0.00 –7.27 Cedar Fair LP . 47.75 0.00 –6.48

    Potential Value in 5, 10, 20 and 30 Years

    Previous Balance $ 111,502.76

    New Net Investment $ 400.28

    Gain/Loss $ –979.38

    Current Balance $ 111,986.38

    Re-Invested Dividends $ 0.00

    Re-Invested Interest $ 0.00 Dividend $ (Top 10)

    EPD 18.25

    Total 18.25

    Capital Gain/Loss $ (Top 10)

    TWTR 1,172.25

    XLV –350.00

    XLF –220.00

    TAP –107.60

    FUN –90.60

    C –9.00

    EPD –68.63

    AMLP –6.50

    IBB –66.30

    XLK –148.50

    Total 1,062.71

    In this section we provide a hypothetical outlook on your portfolio’s future performance highlighting the percent chance of achieving the values we project.

    ?

    Page 2 of 68

  • 14 33 34

    3 3 6

    1 1 1

    Large M

    ed Sm

    all

    Value Core Growth

    Size

    Valuation

    0 0 0

    0 0 0

    0 0 0

    High M

    ed Low

    Ltd Mod Ext

    Credit Q uality

    Interest Rate Sensitivity

    Generated on November 04, 2014

    Portfolio X-Ray | 2014 Thesis Portfolio | October 05, 2014 - November 04, 2014

    X-Ray Overview

    Asset Allocation Equity Investment Style Fixed Income Style

    Cash 6.65

    U.S. Stocks 93.15

    Foreign Stocks 0.19

    Bonds 0.00

    Other 0.00

    Not Classified 0.00

    Sector Weighting % Net Assets 1-Mo Return % Portfolio 1-Mo Return %

    Portfolio S&P 500 Portfolio S&P 500 –0.05 –0.03 0 0.03 0.05

    h Cyclical 40.92 30.39 0.05 0.22 r Basic Materials 3.63 3.30 0.00 –0.08 t Consumer Cyclical { 28.16 10.22 0.03 0.07 y Financial Services } 7.67 14.95 0.01 0.22 u Real Estate 1.46 1.92 0.00 0.02 j Sensitive 42.99 42.78 0.05 0.43 i Communication Services 2.28 4.03 0.00 0.17 o Energy 7.88 9.70 0.01 0.08 p Industrials } 5.96 11.02 0.01 0.19 a Technology { 26.88 18.02 0.03 0.00 k Defensive 16.09 26.83 0.02 –0.27 s Consumer Defensive 7.28 9.52 0.01 –0.55 d Healthcare 7.19 14.32 0.01 0.21 f Utilities 1.62 3.00 0.00 0.06

    Not Classified 0.00 0.00 0.00 —

    Stock Statistics Portfolio Relative to S&P 500

    Forward P/E Ratio 17.95 1.05

    P/B Ratio 3.16 1.32

    ROA 7.73 0.94

    ROE 18.90 0.90

    Portfolio Relative to S&P 500

    5-Yr Proj EPS Growth % 2.16 0.22

    Dividend Yield % 1.40 0.82

    Average Market Cap $mil 53,664.61 0.77

    Fees & Expenses Average Mutual Fund Expense Ratio % 0.36

    Expense Ratio of Similarly Weighted Hypothetical Portfolio %

    0.44

    Estimated Mutual Fund Expense $ 212.47

    Total Sales Charge Paid $ 3.00

    Regional Exposure % of Stocks

    North America 99.81

    Latin America 0.01

    United Kingdom 0.01

    Europe Developed 0.16

    % of Stocks

    Europe Emerging 0.00

    Africa/Middle East 0.00

    Japan 0.00

    Australasia 0.00

    % of Stocks

    Asia Developed 0.00

    Asia Emerging 0.01

    Not Classified 0.00

    Diagnostics

    Asset Allocation

    Your portfolio is aggressive. An asset mix such as yours normally generates high long-term returns but can be very volatile. Financial planners typically recommend these types of mixes for investors who have investment horizons longer than 10 years, need high returns, and are comfortable with a high level of risk.

    Equity Investment Style

    Compared with the broader market, your portfolio's stock exposure is biased toward large-cap companies. Among these issues, it is worth noting that you have a good mix of conservatively priced value stocks and aggressively-priced growth issues. Depending on your investment goals, you may want to further diversify your portfolio by increasing your exposure to small- and mid-cap companies.

    Sector Weighting

    {Over Exposure }Under Exposure

    Fees & Expenses

    The mutual funds in your portfolio tend to have below average expense ratios, which is good because expense ratios have been shown to be a major factor in mutual-fund performance over the long term.

    Regional Exposure

    {Over Exposure }Under Exposure

    ?

    Page 3 of 68

  • Generated on November 04, 2014

    Holding Detail | 2014 Thesis Portfolio | October 05, 2014 - November 04, 2014

    *Annualized

    Morningstar Change % of Holding Personal Return % Name Ticker Rating in Rating Assets Value $ 1-Mo 3-Mo 1-Yr* 3-Yr* 5-Yr*

    SPDR® S&P 500 ETF SPY QQQQ — 42.91 48,052.80 2.62 4.75 — — — Macy's Inc M QQQ 0 7.49 8,386.50 –4.71 — — — — Cash CASH$ . — 6.56 7,350.70 — — — — — Chipotle Mexican Grill Inc Cla ... CMG h QQQ +1 5.76 6,450.00 –2.00 — — — — Apple Inc AAPL QQQ 0 4.83 5,408.00 8.75 — — — — Google Inc Class C GOOG QQQ 0 4.43 4,963.68 — — — — — Vanguard Small-Cap ETF VB QQQQ — 4.09 4,584.80 — — — — — Twitter Inc TWTR h QQQ +1 3.64 4,077.00 –10.25 8.72 — — — Technology Select Sector SPDR® ... XLK QQQQ — 3.62 4,053.00 –2.27 0.32 — — — Panera Bread Co Inc Class A PNRA QQQ 0 3.61 4,046.00 — — — — — Twenty-First Century Fox Inc C ... FOX QQQQ 0 2.81 3,146.00 — — — — — Kroger Co KR Q 0 2.53 2,837.50 7.32 — — — — E I du Pont de Nemours & Compa ... DD QQQ 0 1.84 2,058.90 — — — — — Alerian MLP ETF AMLP QQ — 1.63 1,830.50 –5.02 — — — — Enterprise Products Partners L ... EPD h QQQQ +1 1.63 1,824.00 –5.67 — — — — Walt Disney Co DIS QQQ 0 1.61 1,801.00 — — — — — Facebook Inc Class A FB QQ 0 1.00 1,116.00 — — — — — Financial Select Sector SPDR® ... XLF QQ — 0.00 0.00 –8.93 — — — — Molson Coors Brewing Co TAP QQ 0 0.00 0.00 –7.27 — — — — Market Vectors® Gold Miners ET ... GDX Q — 0.00 0.00 — –6.67 — — — SPDR® S&P Transportation ETF XTN QQQQQ — 0.00 0.00 — — — — — EOG Resources Inc EOG QQQ 0 0.00 0.00 — — — — — Coach Inc COH QQQQ 0 0.00 0.00 — — — — — Consumer Discret Sel Sect SPDR ... XLY QQQQ — 0.00 0.00 — — — — — Materials Select Sector SPDR® ... XLB QQQQ — 0.00 0.00 — — — — — Yahoo! Inc YHOO QQQ 0 0.00 0.00 — 10.88 — — — Health Care Select Sector SPDR ... XLV QQQ — 0.00 0.00 –9.29 — — — — Walgreen Co WAG x QQ –1 0.00 0.00 — — — — — Bristol-Myers Squibb Company BMY x QQ –1 0.00 0.00 13.68 14.05 — — — Whole Foods Market Inc WFM QQQQ 0 0.00 0.00 — 0.45 — — — Citigroup Inc C QQQ 0 0.00 0.00 –5.77 1.99 — — — Domino's Pizza Inc DPZ . — 0.00 0.00 –0.72 — — — — Yum Brands Inc YUM h QQQQ +1 0.00 0.00 –1.07 3.93 — — — iShares Nasdaq Biotechnology IBB QQQQQ — 0.00 0.00 –2.41 — — — — Southern Co SO QQQ 0 0.00 0.00 — –0.81 — — — JC Penney Co Inc JCP . — 0.00 0.00 — — — — — Industrial Select Sector SPDR® ... XLI QQQ — 0.00 0.00 — — — — — Cedar Fair LP FUN . — 0.00 0.00 –6.48 — — — — Energy Select Sector SPDR® ETF XLE QQQQQ — 0.00 0.00 — –5.15 — — — Utilities Select Sector SPDR® ... XLU QQQ — 0.00 0.00 — — — — — Consumer Staples Select Sector ... XLP QQQ — 0.00 0.00 — — — — —

    ?

    Page 4 of 68

  • Generated on November 04, 2014

    Analyst Digest | 2014 Thesis Portfolio | October 05, 2014 - November 04, 2014

    SPDR® S&P 500 ETF SPY | Q