State Street Wealth Manager Services

1. State StreetWealth Manager Services Presentation to: Money Management Institute Technology Spotlight Workshops: Outsourcing for SMA Operations Date: March 1, 2006 Proprietary and Confidential

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3. Wealth Manager Services

4. 4 Organization Chart

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6. Managed Account Services I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

7. 7 Organization Chart

8. 8 Managed Account ServicesCommitment TALKING POINTS HERE SHOULD BE ABOUT THE HOW COMMITTED WE ARE TO THE WEALTH MANAGER SERVICING ARENA. GROWTH POTENTIAL, FITS WILL OVERALL SSC STRATEGY ETC.TALKING POINTS HERE SHOULD BE ABOUT THE HOW COMMITTED WE ARE TO THE WEALTH MANAGER SERVICING ARENA. GROWTH POTENTIAL, FITS WILL OVERALL SSC STRATEGY ETC.

9. 9 Managed Account ServicesDifferentiators Speak to Growth, Operations, Team and Services. The bottom line: We will provide future-state recommendations, and develop service offerings to meet our client�s needs, including brand differentiation. Our approach is to create a solution that will support our client's organizational and service profile, with the inherent flexibility to anticipate and meet emerging needs.. Why? Over the past few years, we�ve heard some common themes emerge from our meetings with both clients and prospects working in the wealth management industry. We�ve learned a lot about what capabilities are most important to wealth managers. Clients have told us they want a technology and operations partner who shares a similar vision, and on a practical level can provide scaleable global solutions to handle large volumes of accounts efficiently. They want local, country specific expertise to enable them to expand into new regions. And they want a partner who can provide timely delivery of data in a consolidated, aggregated format. Speak to Growth, Operations, Team and Services. The bottom line: We will provide future-state recommendations, and develop service offerings to meet our client�s needs, including brand differentiation. Our approach is to create a solution that will support our client's organizational and service profile, with the inherent flexibility to anticipate and meet emerging needs.. Why? Over the past few years, we�ve heard some common themes emerge from our meetings with both clients and prospects working in the wealth management industry. We�ve learned a lot about what capabilities are most important to wealth managers. Clients have told us they want a technology and operations partner who shares a similar vision, and on a practical level can provide scaleable global solutions to handle large volumes of accounts efficiently. They want local, country specific expertise to enable them to expand into new regions. And they want a partner who can provide timely delivery of data in a consolidated, aggregated format.

10. Our Services I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

11. 11 Service Offering privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service andprivately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and

12. 12 Managed Account ServicesCore Services privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service andprivately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and







19. 19 Managed Account ServicesPremium Services privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service andprivately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and





24. Technology Platform I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

25. 25 Vendor Evaluation Process: A summary of the process involved in selecting the performance software finalists Finalists: The strengths and weaknesses of each of the finalists and their projected estimated costs. Next Steps: Making a decision Time to market: Level set expectations Vendor Evaluation Process: A summary of the process involved in selecting the performance software finalists Finalists: The strengths and weaknesses of each of the finalists and their projected estimated costs. Next Steps: Making a decision Time to market: Level set expectations

26. Implementation Methodology I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

27. 27 Implementation MethodologyStrategy Deliver superior implementation services that differentiate State Street from its competitors Foster effective teamwork, collaboration and communication Recruit high caliber individuals who have proven project management experience Leverage WMS� successful implementation methodology Repeatable � controlled yet flexible Timely delivery of all work products Comprehensive execution of project management techniques Develop internal centers of expertise across all implementation initiatives State Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge � and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street's senior debt credit ratings by Moody's Investors Service (Aa3) and Standard & Poor's (AA-) are among the highest for U.S. bank holding companies. We�re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We�re the largest mutual fund custodian and the largest accounting agent. We�re also the #1 servicer of pension plans in the United States, with a 26% share. Today we�re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked �best in the world� in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwide State Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge � and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street's senior debt credit ratings by Moody's Investors Service (Aa3) and Standard & Poor's (AA-) are among the highest for U.S. bank holding companies. We�re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We�re the largest mutual fund custodian and the largest accounting agent. We�re also the #1 servicer of pension plans in the United States, with a 26% share. Today we�re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked �best in the world� in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwide

28. 28 Implementation MethodologyCustomer Lifecycle State Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge � and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street's senior debt credit ratings by Moody's Investors Service (Aa3) and Standard & Poor's (AA-) are among the highest for U.S. bank holding companies. We�re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We�re the largest mutual fund custodian and the largest accounting agent. We�re also the #1 servicer of pension plans in the United States, with a 26% share. Today we�re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked �best in the world� in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwideState Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge � and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street's senior debt credit ratings by Moody's Investors Service (Aa3) and Standard & Poor's (AA-) are among the highest for U.S. bank holding companies. We�re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We�re the largest mutual fund custodian and the largest accounting agent. We�re also the #1 servicer of pension plans in the United States, with a 26% share. Today we�re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked �best in the world� in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwide

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30. 30 Implementation MethodologyClient Service Experience THIS DOESN�T SEEM TO FIT HERE, OR MAYBE I JUST CAN�T REMEMBER YOUR PITCH FOR THIS SLIDE�THIS DOESN�T SEEM TO FIT HERE, OR MAYBE I JUST CAN�T REMEMBER YOUR PITCH FOR THIS SLIDE�

31. Service Level Overview I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

32. 32 Service Level OverviewAttributes privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service andprivately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer�s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and

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36. 36 III. Monthly Operational Support ReviewStatistics

37. Workflow Solution I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.



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41. 41 Status is changed within workflow as tasks are completed; changes in status drive next step in processing Quality control checks performed by New York Service Center. Items that do not pass inspection will be routed accordingly for re-evaluation Upon completion of flow, all items and images are maintained in the database for reference and reporting purposes EX) Lifecycle of an New Account � Generic at possibleEX) Lifecycle of an New Account � Generic at possible

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54. Manager Dashboard Solution I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

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56. Key Takeaways I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services. I�ll begin with a look at State Street�s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We�re the third-largest investment services provider in the world � the largest in the United States, We�re the world�s largest institutional investment manager, and We�re the premier provider of foreign exchange services.

57. Thank You Tom McKee Senior Vice President 971-790-4423 tmmckee@statestreet.com

State Street Wealth Manager Services

State Street Wealth Manager Services

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