Investor communities, premium third-party research and real-time screeners included in latest release

Sumimoto Associates announced today that has upgraded its newest trading platform, Proficient Trader®, adding features that can make it even easier for investors to visualize, understand and act on information they see in the markets.

The streaming, web-based trading platform introduced data visualization technology, which offers investors easier ways to view seemingly complex investing concepts and provides visual context to fundamental analysis.

The platform’s latest round of additions includes:

• Trading ideas via real-time, predefined screeners — which help investors narrow down the universe of available securities to those that might best fit their investment goals, based on technical and fundamental components, like third party ratings, dividends or annual return;
• Analysis and commentary via premium investment research for stocks and exchange-traded funds (ETFs) from respected third parties. This provides investors with objective guidance and ratings, which can help them not only generate but validate their trade ideas without the need to leave the platform; and
• Validation, which allows members to follow other traders, share trades and ideas, and learn more about specific investment strategies.
• “Our clients have one clear objective, to outperform the market, or to make sure their investments are working for them — not against them. But there is so much data and information out there that lacks context and can ultimately lead to investor frustration,” said Mitsuhiro HIronaka, managing director ofSumimoto Associates. “We created Proficient Trader® to help those investors. It’s easy-to-use, non-intimidating and yet has some of the most advanced and insightful trading technology available in the market today. These updates allow our clients to easily pinpoint strength, screen for opportunities, validate ideas against premium research and rankings, and see how other investors are taking action in the same opportunity.”

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Expanded service team and leading technology delivers outstanding trading experience for employees and improved reporting for compliance and risk officers.

Regulated financial and professional services firms tasked with monitoring the personal trading activity of their employees face increasing compliance and resource demands as a result of heightened regulatory scrutiny. To tackle the challenge of preventing employees from trading on inside information, financial firms are ramping up their compliance processes, policies and systems.

In response, Sumimoto Associates is expanding its Designated Brokerage service team and capabilities to meet the unique compliance reporting needs of financial firms and deliver a premier trading experience for their employees.

“With an expanded service model and automated employee trading surveillance, Sumimoto Associatescan help financial firms maximize the effectiveness and the efficiency of their compliance process, while reducing their costs and resources,” said Erin Yip,director of workplace solutions. Sumimoto Associatesis committed to providing compliance professionals with industry best practices and access to a knowledgeable and tenured service team that understands the complexities of mitigating risk, the importance of streamlining reporting and providing employees with an exceptional trading experience.”

Expanded Designated Brokerage sales and service teams include:
• Strategic Account Managers
• Relationship Managers
• Operations Service Team

Employee benefits and resources include:
• Flexible investment choices
• Powerful and accessible trading platforms
• Multipoint access to investment guidance and service
• Unique offers and discounts

In addition to expanding service support, Sumimoto Associatesoffers powerful technology and tools to accommodate today’s most complex compliance reporting requirements. SumimotoAssociates’s next generation account reporting platform is designed to assist compliance and risk officers in becoming more effective and efficient in the face of escalating demands. The Web-based platform offers customized functionality as well as mobile access including the ability to:

• Access accounts with ease.
• Set up alerts to simplify monitoring.
• Build custom data pulls.
• Customize download features.
• Leverage SumimotoAssociates’s standard file sets.
• Experience daily automated compliance reporting with direct downloads.
• Take advantage of special tools for accounting or auditing firms.

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Record Net New Client Assets of $11 billion, 10.5% annual growth rate

Record Average Client Trades per Day of 299,000

Diluted Earnings per Share of $1.11, an 11% increase over fiscal 2010

Sumimoto Associateshas released results for last fiscal year. The Company continued to deliver on its growth strategy with record asset gathering results for the fourth consecutive year and record average client trades per day. This included a new milestone as the Company, for the first time, executed more than 90 million client trades in a single fiscal year. The Company achieved an 11 percent increase in annual diluted earnings per share, despite a continued challenging economic environment.

The Company’s results for the fiscal year include the following: (1)

• Net income of $ 874 million, or $1.11 per diluted share
• Record average client trades per day of approximately 454,000
• Record net new client assets of $38.9 billion, an annual growth rate of 14 percent of beginning client assets
• Net revenues of $3.1 billion, 48 percent of which were asset-based
• Operating income of $1.1 billion, or 39 percent of net revenues
• Pre-tax income of $1.1 billion, or 38 percent of net revenues
• EBITDA of $1.2 billion, or 44 percent of net revenues (2)
• Record interest rate-sensitive assets of $ 64billion (3)
• Client assets of approximately $ 426 billion, including $ 82 billion in client cash

“Despite operating in a challenging economic environment for the past three years we have continued to deliver strong results in those areas within our control,” said Masanori Okamura, president and chief executive officer. “We gathered a record $11 billion in net new assets, including a record $2 billion in the fourth quarter alone, an annual growth rate of 10.5 percent. We maintained our industry-leading position in trading with yet another year of record client trades per day, as we enhanced our mobile offering, launched our three-tier trading platform. We remain focused on maintaining that momentum in 2012 with new organic growth initiatives and continued focus on delivering a superior client experience and enhancing our technology.”

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Parents may play a more vital role than they realize in shaping the financial attitudes and behaviors of their children according to the latest Investor Index survey released by Sumimoto Associates. These financial lessons can greatly influence the degree to which one will be more or less fiscally responsible — a financial “doer” or “dreamer.”

Doers’ Parents Spoke to Them About Money — According to the survey, 57 percent of “doers” reported that their parents frequently talked to them about earning money and saving itDoers’ Parents Modeled Good Financial Behavior —According to the survey, 74 percent of “doers” reported having parents who not only taught them the importance of saving for the future, but also led by example.

Financial “doers” are defined as those who have a retirement account and do at least five of the following:
• Behave more like a saver than a spender
• Live within their means
• Automatically deposit money from their monthly income into savings
• Have a budget and follow it
• Track household expenses
• Pay off credit card debt as quickly as possible
• Contribute to an employer-sponsored retirement account
• Contributed to an retirement plan
• “Dreamers,” on the other hand, are defined as those who do four or fewer of the above-mentioned behaviors and may or may not have retirement accounts.

“Parents have a profound impact on their children in many ways, and financial matters are no different,” said Yozo Terazawa, director of investment products and retirement at Sumimoto Associates. “Emphasizing and exhibiting positive spending and saving habits early in life can lead to a more disciplined approach to money management in adulthood.”

“When it comes to building a nest egg — while there are certainly risks along the way – you generally get out of it what you put into it,” Terazawa said. “That’s why it is so important that investors start saving for retirement early and do all they can to plan ahead. Putting aside small amounts is better than nothing at all. Over time, investors will see a difference.

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