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Hartford Multifactor Emerging Markets ETF

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Objective

Hartford Multifactor Emerging Markets ETF (”ROAM”) seeks to provide investment results that, before fees and expenses, correspond to the total return performance of Hartford Risk-Optimized Multifactor Emerging Markets Index (Bloomberg Ticker: LROAMX), which tracks the performance of emerging market equity securities.

Overview

Designed to provide equity exposure to emerging markets

More About Hartford Multifactor Emerging Markets ETF 

Our systematic, rules-based index methodology is designed to simultaneously address risks while seeking exposures to return-enhancing factors:

Set Risk Parameters

Seek to improve diversification versus a cap-weighted benchmark by reducing concentration at the country, sector, and individual company levels

Select Securities

Seek companies with a favorable combination of low valuation (50%), high momentum (30%), and high quality (20%) investment factors

Reconstitute and Rebalance

Rebalance twice a year in March and September and reapply the investment process annually in March to ensure the portfolio stays true to the rules-based index methodology

Characteristics

Country Allocation(%)
(as of 7/31/2017)

ROAM
Sorry, your browser does not support inline SVG. Taiwan 10.23
Sorry, your browser does not support inline SVG. South Korea 9.40
Sorry, your browser does not support inline SVG. Thailand 8.29
Sorry, your browser does not support inline SVG. Malaysia 7.55
Sorry, your browser does not support inline SVG. Indonesia 7.22
Sorry, your browser does not support inline SVG. China 7.19
Sorry, your browser does not support inline SVG. Philippines 6.48
Sorry, your browser does not support inline SVG. Poland 6.08
Sorry, your browser does not support inline SVG. India 6.03
Sorry, your browser does not support inline SVG. South Africa 5.86
Total of Top 10 Countries(%) 74.34
Sorry, your browser does not support inline SVG. Other (6 countries)
MSCI Emerging Markets Index
Sorry, your browser does not support inline SVG. China 28.39
Sorry, your browser does not support inline SVG. South Korea 15.18
Sorry, your browser does not support inline SVG. Taiwan 11.91
Sorry, your browser does not support inline SVG. India 8.90
Sorry, your browser does not support inline SVG. Brazil 6.92
Sorry, your browser does not support inline SVG. South Africa 6.54
Sorry, your browser does not support inline SVG. Mexico 3.62
Sorry, your browser does not support inline SVG. Russia 3.04
Sorry, your browser does not support inline SVG. Indonesia 2.32
Sorry, your browser does not support inline SVG. Malaysia 2.26
Total of Top 10 Countries(%) 89.09
Sorry, your browser does not support inline SVG. Other (15 countries)

Country allocations are subject to change.

Holdings Characteristics
(as of 6/30/2017)
Index MSCI Emerging Markets Index
Price-to-Book 1.50 1.64
Price-to-Earnings 13.96 15.50
Return on Equity(%) 10.88 11.14
Debt to Equity 1.18 1.15
Dividend Yield(%) 2.82 2.36
30-Day SEC Yield(%) 1.74 -
Nominal Countries 16 25
Effective Countries 14 7
Nominal Companies 329 826
Effective Companies 216 104
Return Characteristics
(as of 6/30/2017)
Fund MSCI Emerging Markets Index
Standard Deviation (last 12-months)(%) 10.89 11.80

Fundamental characteristics are based on industry-standard calculation methodologies and determined by Hartford Funds.

Top Ten Holdings (%)

(as of 8/18/2017)
Samsung Electronics Co Ltd Common Stock Krw5000.0 1.10
Polski Koncern Naftowy Orlen Common Stock Pln1.25 0.98
Telekomunikasi Indonesia Per Common Stock Idr50. 0.94
Coca Cola Femsa Sab Ser L Common Stock 0.92
Bidvest Group Ltd Common Stock Zar.05 0.89
Malayan Banking Bhd Common Stock Myr1. 0.88
United Tractors Tbk Pt Common Stock Idr250.0 0.85
Icici Bank Ltd Spon Adr Adr 0.83
Bdo Unibank Inc Common Stock Php10.0 0.82
Infosys Ltd Sp Adr Adr 0.80
Total of Top Ten Holdings 9.01

Holdings are subject to change. Percentages may be rounded.

Market Cap Distribution(%)
(as of 6/30/2017)
Fund MSCI Emerging Markets Index
Less than $2B 3.8 1.9
$2B - $10B 47.5 27.8
$10B - $100B 46.4 50.9
Greater than $100B 2.3 19.4
Sector Exposure (%)
Sectors 5/31/2017 Fund 6/30/2017 MSCI Emerging Markets Index 6/30/2017 UNDERWEIGHT / OVERWEIGHT -15 0 15
Financials 31.5 31.6 23.6
Overweight 53.333333333333336%
Consumer Staples 11.3 11.3 6.8
Overweight 33.333333333333336%
Energy 9.7 9.5 6.5
Overweight 20.0%
Telecommunication Services 7.4 7.4 5.4
Overweight 13.333333333333334%
Utilities 4.2 4.2 2.6
Overweight 13.333333333333334%
Industrials 6.7 6.6 5.7
Overweight 6.666666666666667%
Real-Estate 3.2 3.1 2.7
Overweight 0.0%
Health Care 2.1 2.2 2.4
Overweight 0.0%
Materials 5.9 5.8 7.1
Overweight 6.666666666666667%
Consumer Discretionary 7.0 6.8 10.6
Overweight 26.666666666666668%
Information Technology 11.0 11.5 26.6
Overweight 100.0%

Based on Global Industry Classification Standard (GICS), which was developed by and is the exclusive property and a service mark of MSCI Inc. (MSCI) and Standard & Poor’s, a division of The McGraw-Hill Companies, Inc. (S&P). Excludes cash. May not total to 100% due to rounding and/or pooled vehicle allocations.

Distributions and Capital Gains
Ex-Dividend Date Record Date Payable Date Ordinary Income Short Term Capital Gains Long Term Capital Gains Total Distribution
6/23/2017 6/27/2017 6/29/2017 $0.219143 $0.000000 $0.000000 $0.219143
12/23/2016 12/28/2016 12/30/2016 $0.183365 $0.000000 $0.000000 $0.183365
6/22/2016 6/24/2016 6/29/2016 $0.205786 $0.000000 $0.000000 $0.205786
12/23/2015 12/28/2015 12/30/2015 $0.218415 $0.000000 $0.000000 $0.218415
6/24/2015 6/26/2015 6/30/2015 $0.210359 $0.000000 $0.000000 $0.210359

Performance

Performance (%)
% (as of 7/31/2017)
Average Annual Total Returns % (as of 7/31/2017)
YTD 1YR 3YR 5YR SI1
Multifactor Emerging Markets ETF (ROAM, NAV) 19.31 15.27 --- --- 0.60
Multifactor Emerging Markets ETF (ROAM, Market Price) 18.41 14.44 --- --- 0.65
Underlying Index (Hartford Risk-Optimized Multifactor Emerging Markets Index - LROAMX) 19.66 16.09 --- --- 1.36
Reference Index (MSCI Emerging Markets Index) 25.49 24.84 2.39 4.76 ---
Performance (%)
% (as of 6/30/2017)
Average Annual Total Returns % (as of 6/30/2017)
YTD 1YR 3YR 5YR SI1
Multifactor Emerging Markets ETF (ROAM, NAV) 14.81 14.30 --- --- -1.01
Multifactor Emerging Markets ETF (ROAM, Market Price) 14.05 14.04 --- --- -0.92
Underlying Index (Hartford Risk-Optimized Multifactor Emerging Markets Index - LROAMX) 15.11 15.23 --- --- -0.26
Reference Index (MSCI Emerging Markets Index) 18.43 23.75 1.07 3.96 ---

SI = Since Inception.
Fund Inception: 02/25/2015
Operating Expenses:  
Net  0.59%  |   Gross  0.59%

Performance data quoted represents past performance. Past performance does not guarantee future results. Current performance may be higher or lower than actual data quoted. The investment return and principal value of an investment will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Current performance may be higher or lower than the performance quoted.

Index performance returns do not reflect any management fees, transaction costs, or expenses.

Hartford Multifactor ETF Shares are bought and sold at market price (not NAV) and are not individually redeemed from the Fund. Total returns are calculated using the daily 4:00pm Eastern Time net asset value (NAV). Market price returns reflect the midpoint of the bid/ask spread as of the close of trading on the exchange where Fund shares are listed. Market price returns do not represent the returns you would receive if you traded shares at other times. The Fund is new and has a limited operating history.

1 For comparison purposes, index "inception" return is based on the fund's inception date. 

Key Facts & Trading Details

Key Facts  (as of 8/18/2017)
Ticker ROAM
Inception February 25, 2015
Underlying Index LROAMX
Net Assets $43,190,131.10
Shares Outstanding 1,800,000
Distributor ALPS Distributors, Inc.
Trading Details  (as of 8/18/2017)
Ticker ROAM
CUSIP 518416201
IOPV TICKER ROAM.IV
Stock Exchange NYSE Arca
Close $24.18
Change $0.19
Change % 0.79%
Net Asset Value(NAV) $23.99
NAV Change $-0.09
NAV Change % -0.36%
Premium/Discount 0.77%

Insights & Literature

pdf

3 Potential Hidden Risks in Traditional Market-Cap-Weighted ETFs 

Mon Jun 05 10:00:00 EDT 2017
Investors may be exposing their portfolios to hidden risks.
pdf

Pursuing Long-Term Capital Growth Through Risk Efficiency 

Fri Feb 03 11:06:00 EST 2017
Investor interest in multifactor strategies continues to accelerate as a potential means to enhance capital growth beyond market beta.
pdf

3 Myths About ETF Liquidity 

Tue Nov 01 10:00:00 EDT 2016
On the surface, ETFs and mutual funds generally share common characteristics. But underneath the surface, ETF liquidity is significantly different.

Fund Literature

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Fact Sheet

03/31/2017 | pdf
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Investment Case

05/03/2017 | pdf

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Brochure

03/31/2017 | pdf

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Prospectus

10/22/2016 | pdf

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Semi Annual Report

05/31/2017 | pdf

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Annual Report

05/11/2017 | pdf

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Flyer

07/14/2017 | pdf

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Flyer

05/10/2017 | pdf
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A WORD ABOUT RISK

All investments are subject to risk, including the possible loss of principal. There is no guarantee the Fund will achieve its stated objective. Foreign investing involves special risks, such as risk of loss from currency fluctuation or political or economic uncertainty. These risks are generally greater for investments in emerging markets. Diversification does not eliminate the risk of experiencing investment losses. Due to the investment strategy of this Fund it may make higher capital gain distributions than other ETFs. Please read the Fund’s prospectus for specific details regarding the Fund’s risk profile.

Transactions in ETF shares will result in brokerage commissions and will generate tax consequences. All regulated investment companies are obliged to distribute portfolio gains to shareholders.

IOPV, or Indicative Optimized Portfolio Value, is a calculation disseminated by the stock exchange that approximates the Fund’s NAV every fifteen seconds throughout the trading day.

Premium/discount reflects the relationship between an ETF’s market price and its net asset value (NAV). Because ETFs are traded on an exchange, their market prices are in part driven by supply and demand dynamics. The ETF’s market price may be above its NAV (reflecting a premium) or below its NAV (reflecting a discount).

Investors may acquire ETF Shares and tender them for redemption through the Fund in Creation Unit Aggregations only. Please see the prospectus for more details.

The MSCI information may only be used for your internal use, may not be reproduced or re-disseminated in any form and may not be used as a basis for or a component of any financial instruments or products or indices. None of the MSCI information is intended to constitute investment advice or a recommendation to make (or refrain from making) any kind of investment decision and may not be relied on as such. Historical data and analysis should not be taken as an indication or guarantee of any future performance analysis, forecast or prediction. The MSCI information is provided on an “as is” basis and the user of this information assumes the entire risk of any use made of this information. MSCI, each of its affiliates and each other person involved in or related to compiling, computing or creating any MSCI information (collectively, the “MSCI Parties”) expressly disclaims all warranties (including, without limitation, any warranties or originality, accuracy, completeness, timeliness, non-infringement, merchantability and fitness for a particular purpose) with respect to this information. Without limiting any of the foregoing, in no event shall any MSCI Party have any liability for any direct, indirect, special, incidental, punitive, consequential (including, without limitation, lost profits) or any other damages. (www. msci.com)

Sources for all data: Bloomberg, MSCI, and Hartford Funds.

202094   LAT000717