• For multiple notes from one recording: [FA Name] and others

If file is from IVR/ Toll-free number: None

With CRM Sync creds:
• Use the Contact CRM Search tool and search by either CRD#, email, name, firm, city, or state.
• Click the search result highlighted in yellow.
• Required to add Neuberger Berman folks as attendees if present in the meeting and/or specified by the WS.

• Follow the DEFAULTs below if WS did not specify.

Calls ( Phone Call, Zoom Call, WebEx, (Microsoft) Teams ):
Call with [FA Name] – for calls with one attendee
Call with [FA Name and FA Name] – for calls with two attendees
Call with [Team Member Name] – for calls that took place with a member of the team; not the FA
Call with [Team Name] – for calls with three or more attendees (if same team)

Zoom/WebEx/Teams Call with [FA Name] – for virtual with one attendee
Zoom/WebEx/Teams Call with [FA Name and FA Name] – for virtual with two attendees
Zoom/WebEx/Teams Call with [Team Name] – for virtual with three or more attendees (if same team)

Voicemails:
Left Voicemail – [FA Name] – if WS specified as voicemail or voice message
Left Message – [FA Name] – if WS specified as left message

Meetings (In person):
Meeting with [FA Name] – for in person meetings with one attendee
Meeting with [FA Name and FA Name] – for in person meetings with two attendees
Meeting with [Team Name] – for in person meetings with three or more attendees

Emails (Email, Email Contact):
Email – [FA Name]
Email – [Team Name]

• Thank You Note — is the subject for Nick Driscoll’s handwritten thank-you notes
• Jose Garcia — If he mentions “Topic” or “Subject” or “Product/s discussed” capture it as the subject of the activity.
• Drop-offs — if WS specified as not a meeting, use “Dropped off [materials/info/treats/trinkets/gifts]” or “Drop-off”

Meeting with 3 attendees from Merrill Lynch:

Meeting with Merrill Lynch

• Select as specified. If none, base on the context.

-Call — for calls over the phone
-Video/Content Sharing Call — for video calls (Zoom, WebEx, virtual)
-In Person — for face-to-face meetings
-Email — for emails

• Thank You Note activites by Nick Driscoll are Email/Email.
• Drop-offs — use Email

• For Calls, activity type can either be:
-Call Attempted
-Call Contact Call Left Message
-Scheduled Call

• For Video / Content Sharing Calls, activity type can either be:
-Call Contact — if WS specified
-Scheduled Call — the DEFAULT for Virtual meeting / Zoom

• For Meetings, activity type can either be:
-In Person Meeting — for face-to-face meetings with one or two advisors attended
-Group Meeting — for three or more attendees
-National/Regional Client Conference — if WS specified
-Industry Conference — if WS specified
-Sales Desk Training — if WS specified
-Ride Along/Advisor Meetings — if WS specified
-Entertainment — if WS specified

• For Emails, activity type can either be:
-Email — if email was sent and no exchanges occurred
-Email Contact — if email was sent and correspondence followed

• As per the POC: “When the team indicates that they did a virtual meeting or zoom (Activity Method), can you please default that Activity Type to Scheduled Call? If they specifically mention that it wasn’t scheduled, it can be a Call Contact, but Scheduled Call should be the default.”
• Thank You Note activites by Nick Driscoll are Email/Email.
• Drop-offs — use Email

• CLEAN VERBATIM
• Remove fillers and retractions.
• Contractions are okay (ex. they’re, we’re, you’d, I’d)
• Dollar mounts format: $100,000 (or $100K), $10 billion, $5 million
• Numbers for ages (ex. 9, 8-year-old, 7 years old)

• Follow-up tasks should be in a separate paragraph below the main notes or in beween the notes depending on how it was dictated.

• Follow-up Task format for Internal/WS:
Matt, please follow up with fact sheets on Long Short and Equity Income.

Or

Follow-up:
1) Matt to send info on funds discussed.
2) Jerry to send 3DR links.

• If WS explicitly said the follow-up task is done, follow the format below:
Matt, please follow up with fact sheets on Long Short and Equity Income. — done

Or

Follow-up:
1) Matt to send info on funds discussed.
2) Jerry to send 3DR links. — done

• Data Science — Select if discussed.
• Custom Direct Investing — Select if discussed.
• CIT Platform — Select if specified or discussed by wholesaler.
• Dynamic Concentrated Stock Management — Select if discussed.
• ESG – Select if the topic of ESG investing was discussed.
• Firm Overview – Select as default if no product-related was discussed.
• NBAI – Select if Family Love Letter (FLL) or NB Advisor Institute (NBAI) was discussed; also if either Anticipating the Unexpected, or Life Events Series, or Surviving Spouse Checklist was discussed.
• PE 101 – Select if discussed.
• PE in Practice – Select if discussed.

Select as specified or if discussed.

********************

Dictated: “Hasn’t been buying too much fixed income, concerned there”
Discussion Focus: Asset Classes: fixed income
Interest: Yes Interest
Conviction: Low

********************

Dictated: “Interested in using private equities and alternatives”
Discussion Focus: Asset Classes: fixed income and private equity
Interest: Yes Interest
Conviction: Medium (add this to the Notes as well)

********************

Dictated: “Interested in using private equities and the Access Fund”
Discussion Focus: Asset Classes: PMAF (no need to tag the private equity asset class because a specific PE fund was discussed)

• Select NB funds discussed in the Key Discussion Points. Refer to NB Products sheet.

• (US Mutual Fund) – DEFAULT for ASG External (broker-dealer) wholesalers; domestic funds
• (MAG SMA) – select for separately managed accounts (SMA) products
• UCITS – select for offshore funds or non-US funds
• (Private Fund) or (Private Fund – Commingled) or (Closed End Fund) – select for private equity funds
• (ETF tickers symbols) – select for ETF products
• (CIT) – select for Collective Trust funds
• (Closed End Fund) – select for CEF funds

• For Private Equity Funds, if not specified by WS, search in the FA’s profile in Salesforce the related offering/vintage that has been tagged. If none, tag the latest offering available in the list.
Example:
For Select Opportunities, select Opportunities Fund VIII.
For Secondary Opportunities, select Secondary Opportunities Fund VI.
For Crossroads, select Crossroads Private Markets Fund VII.

ASG External Wholesalers: Tag US Mutual Funds unless preferences indicate otherwise. Always check the preferences as some WS prefer UCITS over the US mutual funds.

Muni SMAs:
Neuberger Municipal – Intermediate Maturity (MAG SMA)
Neuberger Municipal – Limited Maturity SMA (MAG SMA)

Tax-Exempt Fixed Income SMAs:
Neuberger Municipal – Intermediate Maturity (MAG SMA)
Neuberger Municipal – Limited Maturity SMA (MAG SMA)

Taxable Fixed Income SMAs/TFI SMA:
Neuberger Taxable Fixed Income – Intermediate Maturity (MAG SMA)
Neuberger Taxable Fixed Income – Limited Maturity (MAG SMA)
Neuberger Taxable Fixed Income – Core Bond (MAG SMA)

Large Cap Value:
Large Cap Value Fund – Domestic
UCITS US Large Cap Value Fund – Offshore

BoxSpreads:
Neuberger Options – S&P 500 BoxSpread (PAM SMA)

Options Overlay:
Neuberger Options – S&P 500 PutWrite (Confirm with NB team if this is the fund or if it’s referring to a different options fund.)

Select Opportunities = Select Opportunities VIII

• Capture as specified. If none, base on the context.

For Product/Strategy and Asset Classes:
• Yes Interest — Default if FA is interested in the fund.
• Yes Needs Education — If FA is interested to learn more about the NB fund.
• No Strategy/Asset Class — Default if FA is NOT interested in the NB fund; if it’s a hard NO.
• No Fees — IF FA is not interested in the NB fund due to fee concerns.
• No Passive — IF FA prefers Passive management.
• No Performance — If FA is not interested due to the NB fund’s Performance.
• No Structure — If FA is not interested due to the NB fund’s Structure/process.
• No Timing — If FA is not able to use the NB fund at the moment or is using other firm funds, or too hectic/busy to deal with funds not in their portfolio
• No Competitor — If FA is not interested in the NB fund due to liking the competitor fund better whether it be due to performance, fees, structure, etc.
• No Consultant Dependent — Select if specified
• Unknown — In Dana, leave this field blank. There is no need to tag contact interest.

For Capabilities:
• Yes — Select if FA is interested on a capability/s.
• No — Select if FA is NOT interested on a capability/s.

Examples:
Strategic Income Fund – Yes Interest
Real Estate Fund – No Strategy/Asset Class
Intrinsic Value Fund — Yes Interest
Neuberger Small Cap Intrinsic Value SMA — Yes Interest
Neuberger Large Cap Value SMA — Yes Interest
Neuberger Taxable Fixed Income – Core Bond SMA — Yes Interest
Fixed Income – Yes Interest
NBAI – Yes

• For ESG Multi-Asset Class/ML IMM model portfolios contact interest tagging, refer to General Info tab.
• If products are not yet available in the list, still tag them for contact interest. They will be added later when the queue is cleared.

• High — if FA is invested, committed dollar amount, sent/dropped tickets, paperworks involved, meets with PM, if fund is marked for Opportunity creation.
• Medium — if interested or expressed “like” but no movements or commitments yet, run comp requests, materials/info request, more education on the fund.
• Low — Default; usually just intro to funds, general overview, walkthroughs. Lukewarm interest, “meh”, so-so, no comments at all on the fund/s, interested but waiting for market timing, interested but slow to decide

Example:
Strategic Income Fund – Medium
Intrinsic Value Fund — Low
Neuberger Small Cap Intrinsic Value SMA — Low
Neuberger Large Cap Value SMA — High
Neuberger Taxable Fixed Income – Core Bond SMA — Medium
Fixed Income – High
NBAI – Medium

• No need to capture the names in parentheses: (US Mutual Fund), (MAG SMA), (PAM SMA), (MAG Model). Just capture whether it’s a Fund or SMA, see examples above.
• If products are not yet available in the list, still tag the conviction. They will be added later when the queue is cleared.

********************

MEDIUM
Dictated: “We discussed BoxSpreads at length, very interested. He’s familiar with the strategy, we just discussed operations.”
Conviction: Medium (expressed high interest but have not yet invested or committed)

********************

LOW
Dictated: “Highlighted Strategic Income and Short Duration EMD. Used EM funds in the past, had a bad experience, but understands the benefit of EM versus US fixed income with current markets.”
Conviction: Low (only talked about the funds, and even had a negative experience)

Large Cap Value Fund – Smead Value, MFS Value, JPMorgan Equity Income
Large Cap Value SMA – COWZ ETF
Strategic Income Fund – PIMCO Income, Putname Strategic Income
Core Bond Fund – Lord Abbett Bond Debenture, American Funds Bond Fund of America

• If WS dictation is vague and unsure of the specific fund/SMA competitor:
-Tag fund vs fund.
-Tag SMA vs SMA.

Dictated: “Asked about her interest in private markets, heavy BXPE and BCREDIT user”

Competitor: BXPE, BCREDIT

Note Text: “…We discussed BoxSpreads at length, very interested. He’s familiar with the strategy, we just discussed operations. I’ve sent him the data, it’s going to hit due diligence, and we will go from there. His partner firm should be looking to move forward here.”
Notes: We discussed BoxSpreads at length, very interested. He’s familiar with the strategy, we just discussed operations. I’ve sent him the data, it’s going to hit due diligence, and we will go from there. His partner firm should be looking to move forward here.

• Search the FA’s profile. Searching by email is more accurate.
• To find the specific product interest and conviction, search the product name in the Interest Name field.

• Should be the last date of the last month of the next quarter

Example: If Opportunity was created on Feb 2020 (Q2), funding date should be September 30, 2020 (Q3)
If Opportunity was created on July 2020 (Q3), funding date should be Dec 31, 2020 (Q4)