advertising and promotions services, namely, promoting investment funds, mutual funds, pooled funds, wrap account products, segregated funds, and securities-based investment products to brokers, dealers, financial advisors and other asset management companies and financial institutions through the distribution of informational materials and rendering sales promotion advice

investment counseling, financial planning and financial portfolio management; trustee services for investment products; brokerage of investment funds, mutual funds, pooled funds, wrap account products, segregated funds, and securities-based investment products by brokers, dealers, financial advisors and other asset management companies and financial institutions; brokerage and investment services for investment funds, mutual funds, pooled funds, wrap account products, segregated funds, and securities-based investment products; investment advisory services and financial management of retail open end and closed end investment funds; providing investment management services and customized investment portfolios to institutional clients, namely, pension plans, foundations, and endowments, and private clients, namely, high net worth individuals, family trusts and holding companies; providing equity mandates through separately managed accounts, namely, providing investment management services in the form of model portfolios provided to advisors for the benefit of their clients