• What is your address and other contact information?
• How do I register for a Weiss Capital Management event?
• How do I open a Weiss Capital Management managed investment account?
• What types of investment strategies do you offer?
• How do I open a Treasury Only Money Market Fund Account?
• I subscribe to some of the options services and various newsletters that are published by Weiss Research, Inc., your affiliate company. Do you pursue the same strategies and recommendations in my account at Weiss Capital Management?
• How is Weiss Capital Management different from a stock broker?
• If I open a managed account at Weiss Capital Management, will I still be able to trade a portion of my own account?
• How long does it take to open or transfer my account to Weiss Capital Management?
• What are your wiring instructions?
• Why do I receive statements from Fidelity Investments if my account is with Weiss Capital Management?
• When determining my holding period for sales, do I use trade date or settlement date?
• How am I taxed on mutual fund distributions?
• Why is there a difference between the information on my Fidelity statement vs. what is reported to the IRS?
• On my monthly statement from Fidelity, certain transactions are occasionally foot-noted as “disallowed short-term losses.” What does that mean?
• How have your various investment strategies performed?
• Do you offer financial planning, estate planning, or tax advice?
• Will I be charged a fee if I decide to end my advisory relationship with Weiss Capital Management?
• How is Weiss Capital Management compensated?
• Can my management fee be deducted from my account, even though it is an IRA?
• What if my financial or investment needs or objectives change?
• How much money does Weiss Capital Management, Inc. currently manage?
• I live thousands of miles away from your office in Florida. Can I still do business with you?
• Can I have duplicate statements sent to my accountant, trustees or other parties?
• Can I make withdrawals from my account(s)? Will I be able to get money out of my account quickly in case of an emergency?
• I would like to add more money to my Weiss Capital Management account held at Fidelity Investments. What is the best way to do so?
  

1) What is your address and other contact information?

We are located on the East coast of South Florida in Palm Beach Gardens, just north of Palm Beach.

Click here for directions and map.

Weiss Capital Management, Inc.
7111 Fairway Drive, Suite 102
Palm Beach Gardens, FL 33418

Toll Free: 800-814-3045
Tel: 561-515-8558
Fax: 561-627-1011
Email WCM@WeissCM.com

2) How do I register for a Weiss Capital Management event?

To register for an event or seminar, please call 1-800-814-3034; Email WCM@WeissCM.com, or click on Seminars & Events and follow instructions to register.

3) How do I open a Weiss Capital Management managed investment account?

Call us at 1-800-814-3034 and we will send you out a complete kit, or for faster service, follow these 3 easy steps:

Step 1: Review our ADV II and Privacy Policy

Step 2: Click here to download, print and complete:

A) Instructions on How to Open Your New Account
B) Investment Advisory Agreement
C) Fidelity Account Application

Step 3: Enclose your check made payable to "Fidelity Investments."

NOTE: Please DO NOT make check payable to Weiss Capital Management, as it will be returned.

If you are transferring your account from another broker or adviser, please download and complete a Fidelity Account Transfer Form for each account. Please include a copy of the most recent statement for each account that you are transferring.

Step 4:

Mail or overnight the above to us at:

Weiss Capital Management, Inc.
7111 Fairway Drive, Suite 102
Palm Beach Gardens, FL 33418
Attention: New Accounts

If you have any questions, or need help in completing the forms, please call us at 1-800-814-3034. We will be glad to assist you in any way we can.

4) What types of investment strategies do you offer?

At Weiss Capital Management, we offer a full range of investment strategies with varying objectives and degrees of risk, to help our clients realize their financial goals. To learn more about our investment programs and services click here.

Our clients compensate us for our services through annual management fees based on assets in their account(s). However, as a by-product of actively managing your portfolio, and effecting securities transactions in your account, you may, in addition to our management fee, pay transaction commissions to the broker we use to facilitate trading.

Through negotiation, and by virtue of our volume of business, we have arranged reduced commission rates and institutional trading privileges for our clients' accounts. Weiss Capital Management does not share in or receive any portion of these commissions.

Our management fees range from 0.50% to 2.25%, depending on the type of program selected and the amount invested, and breakpoints for sizeable accounts are available.

5) How do I open a Treasury Only Money Market Fund Account?

Step 1. Click here now to download a prospectus and application, or call the Fund’s distributor, Weiss Capital Securities at 1-800-242-8092 for a prospectus and application kit.

Step 2. Fill out the new account application form.

Step 3. Enclose your check made payable to "The Weiss Fund*." (DO NOT make your check out to Weiss Capital Management)

Step 4. Mail the completed application and check to:

Regular mail:
The Weiss Fund*
c/o PFPC Inc.
PO Box 9833
Providence, RI 02940-8033

Overnight mail:
The
c/o PFPC Inc.
101 Sabin Street
Pantucket, RI 02860

6) I subscribe to some of the options services and various newsletters that are published by Weiss Research, Inc., your affiliate company. Do you pursue the same strategies and recommendations in my account at Weiss Capital Management?

Although both Weiss Research and Weiss Capital Management are part of Weiss Group, LLC, we are separate companies with unique goals and philosophies that are designed to meet the needs of different types of investors.

While we subscribe to the same core philosophy of careful money management and investment selection, Weiss Capital Management’s particular techniques and investments strategies are tailored to individual client needs, which are often entirely different from Weiss Research’s general recommendations and short-term trading advice provided to a large number of subscribers, regardless of their personal financial goals and circumstances.

7) How is Weiss Capital Management different from a stock broker?

Weiss Capital Management is a "fee-only" Registered Investment Adviser. As an asset management firm, we are concerned with the growth of your portfolio and the protection of your assets. We work directly for you, the client, and receive no compensation from any other source.

A Registered Investment Adviser is an entity that is registered with the state and/or with the United States Securities and Exchange Commission as an Investment Adviser under the Act of 1940, and must abide by the rules of the Act. Weiss Capital Management is an SEC Registered Investment Adviser.

A stock broker is a sales person, who is generally compensated by commissions relating to trading activity by generating the sale/purchase of a security through their firm.

8) If I open a managed account at Weiss Capital Management, will I still be able to trade a portion of my own account?

No. When you hire us to manage your assets, you provide us with limited trading authority to make and execute investment transactions on your behalf. As such, we make all trades on your behalf. We manage your account according to your needs, allocating your funds to the programs we have mutually agreed upon, and according to any specific modifications you have requested.

However, you may wish to retain a portion of your assets at a brokerage firm, such as Weiss Capital Securities, our broker-dealer affiliate, or establish an outside account at a discount broker for any self-directed transactions.

9) How long does it take to open or transfer my account to Weiss Capital Management?

Typically, a day or two- if funds are wired into your account.

If you are opening your account by check, the process can take about a week.

Transferring an account or funds from another firm can take anywhere from one to six weeks, depending on your accounts' complexity, the transfer method and the type of securities transferred. Your Financial Advisor at Weiss Capital Management will assist you with the process and inform you along the way.

10) What are your wiring instructions?

Chase Manhattan Bank (J. P. Morgan Chase & Co.)
One Chase Manhattan Plaza, New York City, NY 10004

ABA 021000021
For the Account at NFSC
Account # 066 196-221
FBO: Client Name
Client Account Number

NOTE: All wires must be in U.S. dollars

11) Why do I receive statements from Fidelity Investments if my account is with Weiss Capital Management?

Weiss Capital Management supervises and manages your account, with funds held by our custodian, Fidelity Investments. Your assets are held in an account registered and accessible by you at Fidelity, while we direct and manage the activity within the account based on our agreement with you.

The Limited Power of Attorney extended to us as an investment adviser allows trading authorization only, but at no time do we ever have possession or custody of your money or investments.

Your account at Fidelity Investments is protected through the Security Investors Protection Corporation (SIPC). SIPC protects your assets, up to: $100,000 in cash, $400,000 in securities, for a total of $500,000 maximum. You also have excess SIPC insurance coverage, provided by Customer Asset Protection Company (CAPCO), a licensed Vermont insurance company that has received an A+ credit and financial strength rating from Standard & Poor's^®, to provide you with total net equity protection covering the same asset classes as SIPC on the remainder of your assets.

This insurance does not protect against losses from the rise and fall in the market value of investments in your account, but protects against losses that result from brokerage or institutional failures.

12) When determining my holding period for sales, do I use trade date or settlement date?

The IRS requires you to use trade date to determine your holding period. The "Date of Sale" on Form 1099-B is the trade date for each sale. However, your monthly account statement reports trades by settlement date, which is the date payment is due.

13) How am I taxed on mutual fund distributions?

Unlike dividends from individual securities, which are typically taxable in the year the dividends are paid, mutual fund distributions are taxable based on the record date of the distribution.

For example, mutual fund distributions declared as payable to shareholders of record in December 2007, and actually paid in January 2008, are taxable as 2007 distributions and reported on Form 1099-DIV.

14) Why is there a difference between the information on my Fidelity statement vs. what is reported to the IRS?

Fidelity must adhere to IRS requirements on Forms 1099, which may result in differences between what is on your monthly and quarterly statements and what is reported to the IRS.

For example, the IRS requires that transactions on Form 1099-B be reported on a trade-date basis, even though your statements reflect sales on a settlement-date basis. Additionally, mutual fund distributions declared as payable to shareholders of record in December 2007, and paid in January 2008, are taxable as 2007 distributions and reported on Form 1099-DIV for the 2002 reporting year.

15) On my monthly statement from Fidelity, certain transactions are occasionally foot-noted as “disallowed short-term losses.” What does that mean?

A disallowed short-term loss refers to the sale of a security that was bought within the last 30-days. A sale within 30-days of a purchase that resulted in a loss cannot be used as a loss to offset taxes. Fidelity adds this notation on your account statement as a courtesy reporting issue. Consult your tax advisor for specific information about your tax situation.

16) How have your various investment strategies performed?

Click here for the most recent performance history on our managed investment programs.

Weiss All-World Strategic Growth Program
Weiss Balanced Program
Weiss Bear Strategy
Weiss Managed Treasury Program
Weiss Diversified Income Builder
Weiss Diversified Income Plus Program
Weiss Diversified Global Income and Growth Program
Weiss Select Equity Portfolio
Weiss ETF Strategic Allocation Portfolio

17) Do you offer financial planning, estate planning, or tax advice?

No. Weiss Capital Management specializes in the investment management of our client portfolios. Naturally, we understand the major issues involved in financial planning, tax and estate planning, and we can offer you general guidance. However, we are not attorneys or licensed tax planners. For specific estate planning or tax advice, we encourage you to seek licensed, professional counsel.

18) Will I be charged a fee if I decide to end my advisory relationship with Weiss Capital Management?

Yes, but only if you terminate your relationship with Weiss Capital Management within the first year of establishing it.

An “Early Termination Fee” of $1,000 became effective on June 1, 2008, and is charged to defray the administrative expense of establishing advisory accounts when account(s) are closed within one year from the day the first management fee is debited.

Remember, this fee will only apply if you terminate your entire relationship with Weiss Capital Management. Certain exceptions can be made and clients who established a relationship prior to the effective date are not subject to the fee. For complete details, please ask your Weiss Capital Management financial advisor or refer to the Firm’s ADV Part II (Schedule F).

19) How is Weiss Capital Management compensated?

Our clients compensate us for our services through annual management fees based on assets in their account(s). However, as a by-product of actively managing your portfolio, and effecting securities transactions in your account, you may, in addition to our management fee, pay transaction commissions to brokers we use to facilitate trading.

Through negotiation, and by virtue of our volume of business, we have arranged reduced commission rates and institutional trading privileges for our clients' accounts. Weiss Capital Management does not share in or receive any portion of these commissions.

Our management fees range from 0.50% to 2.25%, depending on the type of program selected and the amount invested, and breakpoints for sizeable accounts are available.

For example, an account invested in a program that is valued at $100,000 on December 31, with a 1% management fee, would be charged $250 (1/4 of 1%) for the first quarter. The management fee is deducted directly from your account and, as a courtesy, prior to debiting your account, you will receive a fee deduction notice in the mail.

This fee deduction will appear on your monthly account statement in the month it is deducted.

20) Can my management fee be deducted from my account, even though it is an IRA?

Yes. Management fees paid directly from an IRA are not treated as distributions, according to the IRS. Most clients prefer the convenience of having our fees deducted directly from their IRA accounts. However, the option of making payment by personal check is available by request, if you prefer.

21) What if my financial or investment needs or objectives change?

If you feel that your investment objectives or your risk preferences have changed, please notify us immediately so that we can determine whether adjustments to your portfolio strategy are required.
Also, it is important that you inform us right away of any major changes in your life that might affect your investments or financial needs, such as divorce, change or loss of your job, a health crisis, or a new major financial obligation.

22) How much money does Weiss Capital Management, Inc. currently manage?

As of mid-year 2008, we manage approximately $350 million in assets.

23) I live thousands of miles away from your office in Florida. Can I still do business with you?

Weiss Capital Management serves clients all over the U.S. In fact, the majority of our clients live outside our area, and many of them have never visited our offices.

You can still get all the benefits of our services by telephone, fax, mail, e-mail, and through our website at: www.WeissCM.com. Virtually all forms and applications you need to open or change an existing account are now available on our website for your convenience.

24) Can I have duplicate statements sent to my accountant, trustees or other parties?

We'll be glad to send duplicate statements for you with your written permission. We can also make sure your accountant gets any year-end statements with tax information as well.

25) Can I make withdrawals from my account(s)? Will I be able to get money out of my account quickly in case of an emergency?

We discourage clients from placing assets under management that may be needed in the short term. However, we can arrange for funds to be made available relatively quickly. We can typically wire transfer money directly into your bank account or issue you a check within 72 hours - excluding holidays, or barring some unforeseen circumstances. Ideally, if you need to make a withdrawal, you should notify us in advance so that the required cash is available for withdrawal. Many times securities must be sold to make cash available for withdrawal.
Keep in mind that making unplanned withdrawals from your account may hamper your portfolio manager’s ability to make investment decisions on your behalf. As a contingency, we recommend that you maintain a separate emergency fund, so that we don't have to unexpectedly sell your long-term holdings and create an unnecessary capital gain or loss.

26) I would like to add more money to my Weiss Capital Management account held at Fidelity Investments. What is the best way to do so?

The quickest way to add money to your account is to send it directly to Fidelity. You may choose either overnight mail or courier, regular mail, or wire transfer.

Regardless of the method, there are three important things to remember when sending money directly to Fidelity:

1. Tell your Weiss Financial Advisor that you're sending in a deposit to your account so that he/she may monitor its receipt.
   
   
2. Ensure all funds are payable to Fidelity Investments.
   
   
3. MOST IMPORTANT: Put your Fidelity account number on your check or wire.

Use the following instructions:

Overnight Courier Address

Fidelity Investments Advisor Group
100 Crosby Parkway
Mailhouse KC1J
Covington, KY 41015

Regular Mail Address

Fidelity Investments Advisor Group
P.O. Box 770002
Cincinnati, OH 45277-0074

Wire Transfer

Chase Manhattan Bank (J. P. Morgan Chase & Co.)
One Chase Manhattan Plaza, New York City, NY 10005
ABA 021000021
For the Account at NFSC (National Financial Services)
Account # 066 196-221
FBO: Client Name
Client Account Number

NOTE: All Wires Must Be In U.S. Dollars