Vestria

Rule Builder

Date	Account Name	Client Name	Rule Name	Rule Limit	Actual Value	Severity
03/31/2016	ABC1-007-009	Richard Capital	Maximum sector exposure	25%	20%	Pass
03/31/2016	ABC1-005-002	John Doe	International Equity Must Have Allocation	5%	18.14%	Fail
03/31/2016	CDE3-007-009	XYZ Defined Fund	Minimum average market cap	$ 15,000,00	$ 12,500,000	Fail
03/31/2016	FGH7-005-003	123 Foundation	Minimum average duration	5 Years	5.5 Years	Pass
03/31/2016	FGH7-005-004	123 Foundation	Maximum corporate bond exposure	25%	22.5%	Pass
03/31/2016	HJU7-007-004	ABC Pension Fund	Securities with credit rating AAA	100%	67.5%	Fail
03/31/2016	KJI9-005-004	Watson Capital	Maximum healthcare sector exposure	$ 1,000,000	$ 1,250,000	Fail
03/31/2016	CDE3-007-005	XYZ Defined Fund	Maximum holdings under large cap value manager	50	42	Pass
03/31/2016	FGH7-005-007	123 Foundation	Maximum allocation to short term bonds	5%	6.5%	Fail
03/31/2016	HJU7-007-009	ABC Pension Fund	Maximum withdrawal amount	$ 500,000	$ 650,000	Fail
03/31/2016	FGH7-005-008	123 Foundation	Maximum Non-U.S country exposure	40%	33%	Pass
03/31/2016	ABC1-007-004	Richard Capital	3-year performance against the benchmark	9.75%	12.50%	Pass
03/31/2016	ABC1-005-006	Richard Capital	Maximum cash allocations	4%	5.25%	Fail

Please select the type of rule you wish to build

Rebalancing Agent
Builds a rule to rebalance the portfolio/plan based on different strategies

Additional Monitoring Rules
Builds rules to monitor different Performance and Risk attributes

Date	Account Name	Rule Name	Severity	Recurring	Assigned To	Status	Results
11/30/2012	ABC1-007-009	No more than 10% in common stock	Warnings	New		Reviewed	$ 30,000
11/30/2012	ABC1-005-002	No Corp Bond less than rating A	Warnings	New		Reviewed	$ 52,000

Date	Account Name	Rule Name	Severity	Recurring	Assigned To	Status	Results
9/30/2012	CDE3-007-009	Between 50 -90 individual stocks	Pass	New		Pending for Review	Pass
9/30/2012	FGH7-005-003	Cash levels are below 5%	Pass	New		Pending for Review	Pass

Rule Name :

	Periodic Rebalancing strategy applied on monthly basis
	Traded prohibited securities
	Maximum sector exposure = 25%
	Maximum security exposure = 5%
	Minimum average market capitalization = $ 1,500,000
	Minimum average duration = 5 years
	Maximum corporate bond exposure = 25%
	Securities with credit rating AAA
	Maximum healthcare sector exposure = $ 1,000,000
	Maximum holdings under large cap value manager = 50
	Maximum allocation to short term bonds = 5%
	Maximum withdrawal amount = $ 500,000
	Maximum Non-U.S country exposure = 40%
	3-year performance against the benchmark
	Maximum cash allocations = 4%

Add	Delete	Description	% Allocation
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		Total Percentage Allocation	0%

Blended Benchmark