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9/10/12

9/10/12. President and Founder of Heritage Capital. Paul Schatz developed and manages 11 of the firm’s 14 offered investment strategies . Paul has been employing exchange traded funds ( ETFs) in his work since 1994 .

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9/10/12

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  1. 9/10/12

  2. President and Founder of Heritage Capital. Paul Schatz developed and manages 11 of the firm’s 14 offered investment strategies. • Paul has been employing exchange traded funds (ETFs) in his work since 1994. • Serves as Treasurer of the National Association of Active Investment Managers, Inc. (NAAIM). • Offers frequent market analysis for CNBC, Fox Business, USA Network, PBS, Bloomberg TV, WVIT, WTNH and FOX 61, and has been quoted in the market commentary sections of the Wall Street Journal, Investors Business Daily, USA Today, Connecticut Post, Hartford Courant, New Haven Register, Financial Planning, Registered Representative and Investment News Weekly. BIOGRAPHY Paul Schatz Heritage is under contract with FPI to provide buy and sell trading signal information. They are not affiliated with FPI.

  3. FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  4. Gold • Inherently volatile vehicle • No intrinsic value • Not strongly correlated to inflation • Not always inversely correlated to the dollar • Secular bull markets when real interest ratesare negative FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  5. Gold and Silver Mining Stocks • Represented by the Philadelphia Gold & Silver Index (XAU) • Hybrid sector that trades based on gold as well as equities • Very concentrated • Very volatile FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  6. Gold Equities Trading • Solid long-term, niche strategy that blends well with others • Low correlation to gold, XAU or stock market • Trades an inherently volatile sector with much more conservative parameters • Traditional mean reversion strategy, buying weakness and selling strength except on stop outs • Volatility is friend of the strategy • Long only, expressing view with RYPMX, GDX, GDXJ, GLD, SLV • Very patient in waiting for opportunities and can and will hold cash for long periods • Tight and stringent stop losses in place for all positions FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  7. Gold Equities Trading Tailwinds • High volatility • Wide intra-day ranges Headwinds • Low volatility • Straight-up moves FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  8. Gold Equities Trading Profitable Trade SELL BUY Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  9. Gold Equities Trading Profitable Trade SELL BUY Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  10. Gold Equities Trading Stop Out SELL BUY Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  11. Gold Equities Trading Stop Out SELL BUY Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  12. Best year Source: Heritage Capital actual trade history. FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  13. Worst year Source: Heritage Capital actual trade history. FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  14. Gold Equities Trading How we navigated 2008 Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  15. 1/1/2001–1/31/2013 Performance metrics since inception of strategy at Heritage Capital Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  16. Historic Gold Price 1980-2013 Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  17. Historic Gold Price 2005-2012 Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  18. Historic Gold Price 2011-2013 Source: Heritage Capital FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  19. Out-of-the-box solution Diversified Tactical Equity Features • Utilize all of Flexible Plan’s universe of strategies to draw from, including any new strategies that become available as well as those from 1998 or prior • Draws from all asset categories • Ability to go long or short and use leverage • Many have GIPS reports • Offers low volatility and low correlation that may lead to a smoother equity line • All portfolios use the same strategies in different allocations depending on the suitability FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  20. Diversified Tactical Equity Features • Actively managed strategies that move in and out of no-load equity mutual funds in response to tactical signals • Volatility Adjusted portfolio allocations quarterly • Available on accounts as low as $5,000 FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  21. Diversified Tactical Equity Hypothetical growth of $100,000 Source: Flexible Plan Investments, Ltd. Research Report (hypothetical) (Jan. ’03 – Dec. ‘12). Returns are net of 2.6% management fee. A maximum Establishment Fee of 1.2% has been deducted at inception. The results are hypothetical and were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. Inherent in any investment is the potential for loss as well as the potential for gain. A list of recommendations made within the immediately preceding twelve months is available upon written request. FOR INVESTMENT PROFESSIONALS ONLY. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE RESULTS.

  22. Regional sales managers 3 easy ways to illustrate to clients • Illustration Generator • Research Report • OnTarget Proposal

  23. If the Universe Components consist of Evolution Funds, since FPI would receive a fee for its sub-adviser activities, the client will receive a pro-rata credit on his billing. Rafferty Asset Management, LLC serves as the Funds’ Investment Adviser and Flexible Plan Investments, Ltd. serves as the Funds’ sub-adviser. Read the Direxion Funds Prospectus and Flexible Plan Investments’ Brochure Form ADV Part 2A Carefully Before Investing. In deciding whether to invest in the Funds described, you should carefully consider the investment objectives, risks and the charges and expenses of the investment company before investing. Read the Prospectus carefully before investing. The Prospectus and Funds’ SAI contain information regarding the above considerations and more. You may obtain a Prospectus and SAI by calling Direxion Funds at (800) 851-0511 or writing Evolution Managed Funds, P.O. Box 1993, Milwaukee, WI 53201-1993 or download the PDF from http://www.flexibleplan.com/files/docs/EVProspectus.pdf. This is provided for information purposes only and should not be used or construed as an indicator of future performance, an offer to sell, a solicitation of an offer to buy, or a recommendation for any security. Flexible Plan Investments, Ltd. cannot guarantee the suitability or potential value of any particular investment. The Research Report results are HYPOTHETICAL. These results were achieved by means of retroactive application of a computer model and may not represent the results of actual trading. The hypothetical performance results depicted have been produced by application of selected mathematical calculation criteria to historical price data. Annual returns are compounded weekly and are inclusive of the last full trading week of the year, but may not necessarily include the last trading day of the year. Research Report results are NOT represented as actual trading or client experience nor do they reflect the impact on decision making of economic or market factors experienced during actual management of funds. Performance between selected dates may be misleading as indicative of overall performance of a strategy since the dates, chosen by the operator of the program are susceptible of having been selected to present optimum performance. The maximum investment advisory fee is 2.6% yearly, dependent upon assets under management and are deducted quarterly. Expenses of the funds or sub-accounts are included to the extent they are reflected in the NAV. Other fees may apply. Sub-accounts of variable annuities, in addition to the expenses of a mutual fund, have mortality, administrative and other charges. All expenses are required to be disclosed in each investment’s prospectus available from your financial representative and the product provider. Distributions have been reinvested. When provided, dividends are reinvested for indexes. In those cases where indexes do not provide dividend information, those returns would be understated. DWM Research provides the Market Leaders performance data to Flexible Plan. And, as with all third parties, Flexible Plan by necessity relies on their information, data, and software provided, but whose reliability, while believed to be accurate, cannot be guaranteed and losses may result from reliance upon them. These are normal risks for which Flexible Plan takes no responsibility beyond use of reasonable care in its selection of the third party. As individual tax rates vary, taxes have not been considered. Various minimum-holding periods for each fund or sub-account may be utilized to comply with trading restrictions. Advisor reserves the right to change these periods. No index is directly tradable. Actual investment performance of any trading strategy may frequently be materially different than the results shown. Some funds/sub-accounts used in the model may not be available for future use. As supplemental information, a listing of all assumed trades and other data used to generate the referenced results is available upon requests. Inquiry for more current results is advised. Inherent in any investment is the potential for loss as well as the potential for gain. A list of all recommendations made within the immediately preceding year is available upon written request. The performance data quoted on reverse represents past performance and does not guarantee future results. The investment return and principal value of an investment will fluctuate; and investors’ shares, when redeemed, may be worth more or less than their original cost. Current performance may be lower or higher than the performance quoted. PAST RESEARCH REPORT RESULTS DO NOT GUARANTEE FUTURE RESULTS. See “Risk Considerations” in Brochure Form ADV Part 2.

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