Tracking Sales

• Using the sitemap, select Sales By Fund under Sales. The Sales by Fund page lists fund-related sales summary data, grouped by the option shown in the dropdown list above the table. If you want to group this data differently, select a different option in that list.

You may also be able to view sales data grouped by fund or portfolio in other pages in SalesConnect, including:

• Funds tabs on detail pages for connectionsConnections are entities; they're the different types of companies and individuals you may need to track. SalesConnect is set up to display information about the types of connections you care about, based on the roles to which you are assigned. like repsA rep is perhaps the most important contact connection in the intermediary business hierarchy. Each rep is an individual who sells funds and is affiliated with an office (and through the office, with a broker/dealer firm). Reps may also be referred to as "financial advisors." Possibly the most critical information you can track for reps are aliases, also known as trading IDs. Aliases are the IDs that associate transactions and assets with each rep. If you need to write queries or reports: The primary data for reps is stored in the Contact and Rep Profile tables. The Rep Alias table stores trading IDs associated with reps. and partnershipsA partnership is a contact connection in the intermediary business hierarchy, though it is really a name for a group of reps working together to sell one or more products. A partnership, sometimes called a rep partnership, is treated as a special type of rep: this means that most of the tools for working with reps may be used to work with partnerships as well. Most views of transactions associated with an individual rep generally don't include transactions or parts of transactions that the rep may have cleared as part of a partnership. Instead, these kinds of trades are listed only for the rep partnership. Each member's portion of rep partnership sales data is always based on the percentages currently assigned to each member; no long-term historical information about percentages is maintained. SalesConnect does not store any calculated trade or asset values based on rep partnerships. If you need to write queries or reports: The primary data for partnerships is stored in the Contact, Rep Partnership, and Rep Profile tables. The Rep Alias table stores trading IDs associated with partnerships as well as reps.
• Profile tabs on detail pages for connections
• Sales Summary tabs on detail pages for connections like reps and partnerships: You can enter criteriaIn a query, a criterion is a single point of comparison. For instance, one criterion in a query might be reps in the state of Michigan. Query and search criteria are based on properties in the primary SalesConnect objects associated with the type of connection or other record which the query or search finds. in the Sales Summary, Monthly Totals or Asset Balance section of the tab, and then select Display to open a popup showing the selected summary data. (You can use one section at a time.)
• Reports or saved searches and queriesA query is a special type of saved search for connections or other data in SalesConnect, created with a SalesConnect query tool rather than a standard search page. When you create a query, you select query criteria based on familiar field names from the interface; the criteria you specify are transformed behind the scenes into the appropriate SQL statements. available in SalesConnect.

1. Using the sitemap, select Regional Managers under Sales.
2. On the displayed RegionalTerritory regions are optional, but they can be used to group together a number of territories overseen by the same regional sales manager. An unlimited number of regions can be defined for each territory category version, and each region may have an unlimited number of territories. However, a territory may only belong to a single region. Managers page, select a territory categoryA territory category represents one set of distinct territories that you need to maintain at the same time. A single territory category may not reflect how your sales force is distributed, so you can define up to fifteen (15) different territory categories in SalesConnect; however, only one version in each territory category can be current at any given time. Categories can represent particular lines of business (such as wirehouses or banks) or product lines (such as mutual funds or annuities), or any other meaningful division for which you need to support distinct sets of territories. Categories include as many named territories as you need to identify sales responsibilities. Named territories are often geographical in nature, but can also include channel/subchannel definitions and firm associations. Applicability also affects office and rep/partnership/team territory assignments: if a territory category is applicable to a firm, then entities associated with that firm can be assigned to territories in that category; but if the category is not applicable to a firm, then associated entities are not assigned to a defined territory in it, but are instead flagged "Not Applicable" for the category. in the dropdown list above the table. Sales data for sales contactsA sales contact is a person affiliated with your company who is responsible for working with reps to encourage sales of your products. Sales contacts may be National Sales Managers, Regional Sales Managers, Internal Wholesalers or External Wholesalers. Some of the key functionality in SalesConnect revolves around tracking sales data for the territories and/or regions to which sales contacts are assigned. assigned to regions in the selected category is shown.

You may also be able to view sales data grouped by regional manager in reports or saved searches and queries available in SalesConnect.

1. Using the sitemap, select Sales By Territory under Sales.
2. On the Sales by TerritoryIn a territory category, you can define as many named territories as you need to identify sales responsibilities. Territories are often divided geographically, and can include whole countries, states or provinces, or even ZIP/postal code ranges. Other criteria can be included for each territory, such as firm association or channel/subchannel definitions. If needed, you can filter offices, reps, partnerships, and teams to which a territory will apply by their firm association alone. Each territory can have one or more operators assigned to it; after territory assignments are set, permissions can be set to control the level of access each operator has to data (such as viewing or editing), based on his or her territory assignments. page, select a territory category from the dropdown list above the table. For each territory you are authorized to see, a number of sales summary figures are shown.

You may also be able to view sales data for territories in several pages in SalesConnect, including:

• Profile tabs on detail pages for connections
• Sales Summary tabs on detail pages for connections like reps and partnerships: You can enter criteria in the Sales Summary, Monthly Totals or Asset Balance section of the tab, and then select Display to open a popup showing the selected summary data. (You can use one section at a time.)
• Reports or saved searches and queries available in SalesConnect.

There are several ways that you can review individual trades in SalesConnect:

• By searching for trades: See Searching for Trades for details.
• By reviewing trades listed on the Trades tabs on detail pages for accounts and for connections like reps, partnerships, officesAn office is a connection in the intermediary business hierarchy, an organization subordinate to a broker/dealer firm. Offices are also sometimes referred to as "branches'; institutional firms have branches in SalesConnect. An office is affiliated with a single broker/dealer firm, and may have one or more reps directly affiliated with it. An office may have associated office contacts, as well. Possibly the most critical information you can track for offices are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each office. If you need to write queries or reports: The primary data for offices is stored in the Office table. Information about office trading IDs is stored in the Office Alias table., and firms
• By reviewing reports or saved searches and queries available in SalesConnect.

1. Using the sitemap, select Wholesalers under Sales
2. On the displayed Wholesalers page, select a territory category in the dropdown list above the table. Sales and asset summary data for the sales contactsAny individual person tracked in SalesConnect is a contact, which is one type of connection. So, reps, firm contacts, and office contacts—are all contacts. Partnerships and teams are also treated as contacts in SalesConnect, because you usually need to work with them in the same ways. assigned to territories in the selected category is shown.

You may also be able to view sales data grouped by wholesaler in reports or saved searches and queries available in SalesConnect.

Sales summary data is available throughout SalesConnect. Here are a few key places from which you may be able to track summary data:

• Your dashboardThe dashboard is the first page you see when you log into SalesConnect. It provides an overview of summary information related to trades and assets. which includes summarized sales data, and links to details that are available from it

• Several tabs on detail pages for connections like firms, offices, reps, partnerships and teamsA team is a contact connection, though it is really a group of individuals working together to achieve a common sales goal; a team may include reps and rep partnerships from the office with which the team is associated, but it can also office contacts and non-producing reps who support team sales efforts.: Profile, Funds, Business Review, and Sales Summary. On a Sales Summary tab, you can enter criteria in the Sales Summary, Monthly Totals or Asset Balance section of the tab, and then select Display to open a popup showing the selected summary data. (You can use one section at a time.)

• The Sales by Fund page; see Track sales by fund.
• The Sales by Territory page; see Track sales by territory
• The Wholesalers page; see Track sales by wholesaler
• The Regional Managers page; see Track sales by regional manager
• Saved queries and reports available in SalesConnect; see Searching for Connections and Getting ReportsSalesConnect.