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UNIT INVESTMENT TRUSTS SOLUTIONS GUIDE Unit Investment Trusts A Disciplined App

UNIT INVESTMENT TRUSTS SOLUTIONS GUIDE Unit Investment Trusts A Disciplined Approach to Investing www.aamlive.com At Advisors Asset Management Inc. (AAM), we differentiate ourselves through a focused selection of proprietary Unit Investment Trust (UIT) offerings with an emphasis on solid investment disciplines and specific asset classes. We are one of the nation’s top providers of UITs, with over $6 billion in assets under supervision. Established in 1979, AAM has become a highly respected financial force providing complete portfolio solutions tailored to the individual needs of financial professionals and their clients. Intelligent Investments. Independent Ideas. Unit Investment Trusts - Equity PORTFOLIO NAME Portfolio Consultant Dist. Frequency Term Equity International/Global Portfolios PORTFOLIO NAME Portfolio Consultant Dist. Frequency Term Equity Dividend Strategies Portfolios BRIC Advantage Advisors Asset Management Semi-Annual 2 yr European Select Cyrus J. Lawrence Monthly 15 mo Todd International Intrinsic Value Todd Asset Management Monthly 15 mo Sector/Industry Focus Portfolios Aerospace/Defense Opportunities Peroni Portfolio Advisors Semi-Annual 2 yr Agri-Business Opportunities Peroni Portfolio Advisors Quarterly 2 yr Cohen & Steers MLP, Midstream & Energy Income C/E Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Real Estate Income Strategy Cohen & Steers Capital Mgt. Monthly 15 mo Energy Opportunities Advisors Asset Management Quarterly 15 mo Financial Opportunities Advisors Asset Management Quarterly 2 yr Global Basic Materials Advisors Asset Management Quarterly 2 yr Global Technology Advisors Asset Management Semi-Annual 15 mo Health Care Opportunities Peroni Portfolio Advisors Semi-Annual 2 yr REIT HIMCO Monthly 15 mo Utilities HIMCO Monthly 15 mo Bahl & Gaynor Income Growth Bahl & Gaynor Monthly 15 mo Bahl & Gaynor smig (Small/Mid Cap Income Growth) Bahl & Gaynor Monthly 15 mo Dividend Advantage Peroni Portfolio Advisors Monthly 15 mo Dividend Income Value Strategy Advisors Asset Management Monthly 15 mo Dividend Sustainability HIMCO Monthly 15 mo Dow® Value Ten Advisors Asset Management Monthly 15 mo Emerging Markets Dividend Advisors Asset Management Monthly 15 mo Global Dividend Strategy HIMCO Monthly 15 mo High 50® Dividend Strategy Advisors Asset Management Monthly 15 mo Dividend Strategies Portfolios International High 30 Dividend Advisors Asset Management Monthly 15 mo Minimum Volatility Equity Income HIMCO Monthly 15 mo Strategic High 50®/Q-50 Dividend and Growth Advisors Asset Management Monthly 15 mo Strategic High 80 Dividend Advisors Asset Management Monthly 15 mo 60/40 Asset Allocation Advisors Asset Management Monthly 15 mo Advisors Core Equity Strategy Advisors Asset Management Semi-Annual 15 mo American Renaissance Cyrus J. Lawrence Semi-Annual 2 yr Angels Advisors Asset Management Semi-Annual 15 mo Blue Chip Advisors Asset Management Quarterly 15 mo Brand Favorites Focus Peroni Portfolio Advisors Quarterly 15 mo Building America Strategy Pence Capital Management Monthly 2 yr Bulldog Cyrus J. Lawrence Semi-Annual 15 mo Cohen & Steers Dynamic Income Cohen & Steers Capital Mgt. Monthly 2 yr Core Angels Advisors Asset Management Semi-Annual 2 yr Global Inflation Growth Peroni Portfolio Advisors Semi-Annual 2 yr Inflation Sensitive Dividend HIMCO Monthly 15 mo Kames Sustainable Equity Kames Capital Semi-Annual 15 mo NASDAQ Q-50 IndexSM Advisors Asset Management Semi-Annual 15 mo Next Generation ESG Strategy HIMCO Monthly 15 mo Peroni Growth Peroni Portfolio Advisors Semi-Annual 15 mo Small/Mid-Cap Advantage Peroni Portfolio Advisors Semi-Annual 2 yr Strategic Foundations of Growth Peroni Portfolio Advisors Semi-Annual 15 mo Transformers Strategy Pence Capital Management Semi-Annual 15 mo Ubiquitous Strategy Pence Capital Management Monthly 2 yr Ubiquitous Strategy - 15 Month Pence Capital Management Monthly 15 mo Thematic Portfolios Page 1 Please refer to additional risks and considerations on page 3. Unit Investment Trusts - Closed-End Funds and Fixed Income Closed-End Funds Taxable Portfolios PORTFOLIO NAME Portfolio Consultant Dist. Frequency Term Closed-End Funds Tax-Exempt Portfolios Fixed Income Taxable Portfolios *As of Q1 2019. Cohen & Steers California Municipal Closed-End Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Municipal Closed-End Cohen & Steers Capital Mgt. Monthly 2 yr Balanced Advisors Asset Management Monthly 2 yr Business Development Company Opportunities Advisors Asset Management Monthly 2 yr Cohen & Steers Convertible and Income Closed-End Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Covered Call and Income Strategy C/E Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Equity Dividend & Income C/E Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Global Covered Call & Income Strategies Closed-End Cohen & Steers Capital Mgt. Monthly 2 yr Cohen & Steers Senior Variable Rate and Income Closed-End Cohen & Steers Capital Mgt. Monthly 2 yr Tactical Income Closed-End Advisors Asset Management Monthly 2 yr Tactical Plus Closed-End - 15 month Advisors Asset Management Monthly 15 mo Advisors Corporate Trust (ACT) - Navellier/Dial High Income Opportunities Navellier & Associates Monthly Approx. 6.02yrs* Cohen & Steers Preferred Income Opportunities Cohen & Steers Capital Mgt. Monthly 15 mo Page 2 Please refer to additional risks and considerations on page 3. AAM has established a growing network of experienced strategic partners. PERONI PORTFOLIO ADVISORS, INC. AAM partners with select managers and investment management firms we believe have unique approaches and proven investment processes that can add value to investor portfolios. Because these managers primarily serve institutional clients, they are typically not otherwise available to advisors and individual investors. Blue Chip Covered Call Advisors Asset Management Quarterly 2 yr Income Quality Covered Call Advisors Asset Management Quarterly 2 yr PORTFOLIO NAME Portfolio Consultant Dist. Frequency Term Equity Covered Call Portfolios Preferred Taxable Portfolios California Risk: Because the trust invests in closed-end funds that invest primarily in California municipal securities, the trust is more susceptible to the adverse economic, political or regulatory occurrences affecting the state of California and issuers of California municipal securities. The creditworthiness of obligations issued by local California issuers may be unrelated to the creditworthiness of obligations issued by the state of California, and that there is no obligation on the part of the state to make payment on such local obligations in the event of default. Covered Call: The strategy followed by the trust is a covered call option writing strategy. A writer (seller) of a covered call sells call options against a security currently held by the writer. The writer of a call option receives a cash premium for selling the call option but is obligated to sell the security at the strike price if the option is exercised. Closed-end Funds: Closed-end funds are actively managed investment companies and are subject to various risks including management’s ability to meet the fund’s investment objective, manage the fund’s portfolio when the underlying securities are redeemed or sold during periods of market turmoil and as investors’ perceptions regarding the funds or their underlying investments change. Closed-end funds frequently trade at a discount to their net asset value in the secondary market. Closed-End Funds Investing in Municipal Bonds: Closed- end funds are actively managed investment companies and are subject to various risks, including management’s ability to meet the fund’s investment objective, and to manage the fund’s portfolio when the underlying securities are redeemed or sold during periods of market turmoil and as investors’ perceptions regarding the funds or their underlying investments change. Closed-end funds frequently trade at a discount to their net asset value in the secondary market. Credit Quality Breakdown: Credit ratings are generally provided by Standard & Poor’s (S&P), Moody’s Investors Service and Fitch ratings Rating agencies. They provide graduations of creditworthiness using rating symbols which are their perceived ability to meet obligor’s financial obligations. Bond credit quality, investment grade rating definitions are as follows: Aaa/AAA highest quality; Aa/ AA high quality (very strong); A/A upper medium grade (strong); Baa/BBB medium grade. Any rating below Baa/BBB is not investment grade. Generally, the lower the credit rating the riskier the investment and the more likely the issuer is to default on the interest payments and/ or principal payments of the bond. Dividend Payment Risk: An issuer of a security may be unwilling or unable to pay income on a security. Common stocks do not assure dividend payments and are paid only when declared by an issuer’s board of directors. The amount of any dividend may vary over time. Exchange-Traded Funds (ETFs): ETFs are subject to various risks, including management’s ability to meet the fund’s investment objective and to manage the fund’s portfolio when the underlying securities are redeemed or sold, during periods of market turmoil and as investors’ perceptions regarding change. ETFs frequently trade at a discount to their net asset value in the secondary market and the net asset value of the fund shares may decrease. Additionally, because ETFs have management and operating expenses, the trust may incur greater expenses than investing directly in the underlying funds. Fixed Income Securities: Bonds typically fall in value when interest rates rise and rise in value when interest rates fall. Bonds with longer periods before maturity are often more sensitive to interest rate changes. The financial condition of an issuer may worsen or its credit ratings may drop, resulting in the issuer’s inability to make interest and/ or principal payments in the future or in a reduction in the value of your units. A bond issuer might prepay or “call” uploads/Management/ current-guide.pdf