Directional Funds



 


Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Ticker: TVAAXNAV: 9.71Change: -0.27
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Ticker: TVMAXNAV: 11.23Change: -0.30
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Ticker: TVDAXNAV: 11.33Change: -0.26
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Ticker: TVCAXNAV: 9.69Change: -0.27
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Ticker: TVMCXNAV: 11.26Change: -0.30
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Ticker: TVDCXNAV: 11.38Change: -0.26
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Ticker: TVFAXNAV: 9.76Change: -0.28
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Ticker: TVFMXNAV: 11.33Change: -0.30
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Ticker: TVFDXNAV: 11.43Change: -0.26
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Aggressive Index Fund
Ticker: TVIAXNAV: 9.79Change: -0.27
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Market Index Fund
Ticker: TVIMXNAV: 11.37Change: -0.30
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Transparent Value Dow Jones RBP® U.S. Large-Cap Defensive Index Fund
Ticker: TVIDXNAV: 11.45Change: -0.27
Index Construction and Rebalancing

The Transparent Value Dow Jones RBP® U.S. Large-Cap mutual funds utilizes a quantitative strategy that invests in the highest-ranking U.S. large-cap securities by Required Business Performance® probability scores. The mutual funds follow rules-based, quantitative selection process that is tied to Dow Jones RBP® family of directional U.S. Large-Cap Indexes.

Prior to applying RBP® selection and weighting, the selection universe is refined to account for size (defined as market-cap), risk and volatility (defined as beta) and a stock price trend (defined as momentum). These market and technical indicators aim to enhance the power of the RBP® probability as selection and weighting mechanisms by comparing companies that have similar size, risk/volatility and momentum characteristics. RBP® selection and weighting do not guarantee the profit or performance of the Transparent Value Funds.


DJ LC TSM – Dow Jones US Large-Cap TSM;      H – High;      L – Low;

To control for size, the selection universe for Directional indexes uses the Dow Jones US Large-Cap TSM.

Beta is perhaps one of the most important indicators of a stock’s risk or volatility. It's a measure that aims to provide insight into the movements of a given stock relative to its market movements. Beta values are calculated using daily total returns for the past 90 days.

Transparent Value breaks the Dow Jones US Large-Cap TSM into three groups:

1. companies with betas higher than one
2. companies with betas lower than one
3. 400 companies that have betas closest to one.

Beta measures the amount which a stock tends to increase or decrease in value relative to the change in the value of the overall stock market. For example, if the market increases by 5%, a stock with a beta of 1 would tend to also increase by 5% (5% x 1.0), while a stock with a beta of 0.5 would tend to increase by 2.5% (5% x 0.5), and a stock with a beta of 1.5 would tend to increase by 7.5% (5% x 1.5).

Once these groups are selected they are further refined to account for momentum, which is a measurement of the speed in a stock’s price changes. Momentum is defined by a stock’s 6 month total return.

We believe in regards to market trends, this is a useful signal, but not a guarantee, as to the strength or weakness in a given stock price. Transparent Value’s selection process seeks to capture companies with high momentums and avoids ones with low momentums. We feel that once a trend is established, a given stock price is more likely to follow in that direction than to move against the trend. However, past performance is not a guarantee of future trends or stock performance.

The beta screen selected stocks are split into two categories, high and low, with 200 components in each category.

Through size control, beta values and momentum screens, a selection universe is defined.

Transparent Value calculates the RBP® probability for each stock within the selected universe, in accordance to the RBP® methodology.

We split the stocks with High Momentum components into two categories, high and low, based on their RBP® scores. Each category is comprised of 100 stocks.

The 100 stock components with the highest RBP® probabilities within each beta and momentum category are selected for the indexes. Following the selection, the components are weighted by their RBP® scores.

Review Frequency

The indexes are rebalanced quarterly. In addition, indexes are reviewed on an ongoing basis to account for corporate actions such as mergers or delistings.


Weighting

Index components are weighted by their RBP® probabilities.

Dow Jones U.S. Large-Cap TSM - a subset of the Dow Jones U.S. Total Stock Market IndexSM, which measures all U.S. equity securities with readily available prices. It includes stocks among the largest 750.

You cannot invest directly in an index.

An investment in the Funds involves risks, including loss of principal. No assurance can be given that the investment objectives described herein will be achieved. The Funds seek to track a quantitative strategy index, meaning that the Funds invest in securities comprising an index created by a proprietary model. The success of the Fund’s principal investment strategies depends on the effectiveness of the model in screening securities for inclusion in the Index.


For more complete information about the Funds, see the prospectus or call 1 (888) 727-6885. Financial Advisors should call 1-855-TV Funds or 1-855-883-8637. Read the prospectus carefully before you invest or send money.

ALPS Distributors, Inc is not affiliated with Guggenheim Investment Management, LLC, Transparent Value Advisors, LLC (“TVA”) and/or Guggenheim Partners, LLC. TVA and ADI are not affiliated with Dow Jones. Transparent Value Funds are distributed by ALPS Distributors, Inc (“ADI”).

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