Please provide biographical information on all the individuals listed below. Name Title Years Experience Years with Firm Location # of Client Relationships Total Client Assets (Plan Size AUM $ billion) Degrees/ Designations Sponsoring Body/School Please review PRIM’s Strategic Asset Allocation, contained in Exhibit A, and offer any suggested changes. Please specify the reasons for any suggested changes. Please describe your firm’s expertise in calculating expected return and risk assumptions. Please provide, as an attachment to this Proposal, a copy of the firm’s most recent expected return and risk assumptions currently used to recommend a strategic asset allocation for clients. Please describe in detail the research conducted to create the expected return and risk assumptions. Please provide a description of sources of information used to conduct research to support the inclusion or exclusion of an asset class in the portfolio. Please provide a description of quantitative techniques utilized, if applicable. Please provide a description of the qualitative inputs to the process, if applicable. Please provide, as attachments to this Proposal, the following information related to asset allocation results: Total investment performance relative to the benchmark for each individual client for whom your firm provides strategic asset allocation services. Provide both annualized and calendar year performance for the duration of each client relationship. Attribution illustrating the performance impact of asset allocation changes recommended by your firm. Please provide both annualized and calendar year performance for the duration of each client relationship. Please provide the appropriate peer group rankings (public plan, corporate, endowment, foundation) of the investment performance of each of your firm’s asset allocation consulting services clients.
Any criminal proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any employees of affiliates within the last five years. Any civil, regulatory or administrative proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any of employees of its affiliates within the last five years, including, but not limited to, any SEC investigations, actions, or consent degrees, and any reparations, arbitrations, or negotiated settlements. Whether any of the firm’s investment professionals has ever been investigated, disciplined, suspended (including revocation or suspension of licenses), subpoenaed, indicted, prosecuted, or barred from investment activities by any regulatory authorities. VIII. FEE PROPOSAL. Please provide your fee, broken down by the following services for an expected contract of up to three years, beginning on April 10, 2015: A. Combined Service Fees (Public Markets and Strategic Asset Allocation, Combined). B. Standalone Service Fees. Public Markets Advisory Services. Strategic Asset Allocation Advisory Services. IX. REPRESENTATIONS AND WARRANTIES. All respondents are required to submit an executed copy of the following Representations and Warranties. A. The respondent warrants that, if engaged by PRIM, it will not delegate, without prior written approval by PRIM, its responsibilities to a third party. B. Respondent warrants that it has completed, obtained, and performed all registrations, filings, approvals, authorizations, consents or examinations required by any government or governmental authority for acts to be performed in providing to PRIM the services sought by this RFP. C. Respondent warrants that it will agree to the provisions of the Agreement which are set forth in Exhibit C to this RFP. If there are provisions of the agreement that are of concern, please highlight those areas for further discussion.