Laserfiche WebLink
assumptions and estimates, and other considerations. As a result, the advice developed and <br /> recommendations provided are not guarantees that an Advice Program client will achieve its goals or <br /> anticipated performance. <br /> Nationwide ProAccount in the Nationwide Retirement Program and the NRS Retirement Program <br /> For Nationwide ProAccount, NIA has hired Wilshire as the IFE to evaluate, construct and maintain the <br /> portfolios of available mutual fund investment options. Wilshire has sole control and discretion over changes <br /> to asset allocation and fund selection, and employs its own method of analysis and investment process. NIA is <br /> responsible for managing the relationship with Wilshire. NIA's Investment Committee is responsible for <br /> overseeing NIA's activities, including its ongoing monitoring of the services provided by Wilshire in developing <br /> and maintaining the Nationwide ProAccount portfolios. The Investment Committee meets at least quarterly <br /> and reviews performance, investment strategies, and the IFE's development and ongoing maintenance of the <br /> portfolios. <br /> The analysis and advice provided by Wilshire and delivered by NIA depends on a number of factors, including <br /> the information provided by a ProAccount Client,various assumptions and estimates and other considerations. <br /> As a result, the advice developed and recommendations provided are not guarantees that a ProAccount Client <br /> will achieve his or her retirement goals or anticipated performance. <br /> Any investment advice a ProAccount Client receives is for his or her personal benefit and not for the benefit of <br /> any other person. The investment advice is only for assets within a ProAccount Client's retirement plan <br /> account and is not applicable to any other assets owned. <br /> Item 9 Disciplinary Information <br /> NIA is required to disclose all material facts regarding any legal or disciplinary events that would be material to <br /> a client's evaluation of NIA or the integrity of NIA's management. NIA has no information applicable to this <br /> Item. <br /> Item 10 Other Financial Industry Activities and Affiliations <br /> Other Financial Industry Activities or Affiliations <br /> NIA Investment Committee -- Two (2) NIA Investment Committee voting members are registered with an <br /> affiliate broker-dealer, Nationwide Fund Distributors, LLC. The remaining two (2) NIA Investment Committee <br /> voting members are not registered with a broker-dealer. <br /> NIA Management -- The President of NIA, who is also a member of NIA's board of managers ("NIA Board <br /> Member"), is registered with an affiliate broker-dealer, Nationwide Fund Distributors, LLC. The Treasurer, <br /> Secretary, Assistant Treasurer, and Chief Compliance Officer of NIA are registered with an affiliate broker- <br /> dealer, Nationwide Investment Services Corporation. <br /> Several NIA officers and NIA Board Members are also officers and directors of affiliated companies within <br /> Nationwide Financial, including NIA's parent company, NLIC, and the companies that comprise the Nationwide <br /> Funds Group. It is anticipated that a majority of a NIA officer's or NIA Board Member's time, with the <br /> exception of the Chief Compliance Officer,will involve non-NIA related activities. <br /> NIA is affiliated by common ownership and control with the following entities: <br /> • Nationwide Life Insurance Company ("NLIC"), NIA's parent company, is an insurance company which, <br /> among other things, established the LCG Portfolio. NLIC has hired NIA as the investment adviser for the <br /> LCG Portfolio. Additionally, NLIC issues group variable annuity products to retirement plans that have <br /> 13 <br />