Fund Disclosure

DoubleLine Team

2020 Fund Intelligence, Sales Success of the Year – Mutual Funds. The shortlists and winners are comprised of individuals and firms who have submitted entries or been nominated via the online submission process, as well as through recommendations from leading market participants. Judges will use the submitted application material, as well as any uploaded supplemental information, to determine which firm, individual or product they believe to be the most suitable and deserving winners for each category.

Refinitiv Lipper Fund Awards
The Refinitiv Lipper Fund Awards, granted annually, highlight funds and fund companies that have excelled in delivering consistently strong risk‐adjusted performance relative to their peers. The Refinitiv Lipper Fund Awards are based on the Refinitiv Lipper Leader for Consistent Return rating, which is a risk‐adjusted performance measure calculated over 36, 60 and 120 months. The fund with the highest Refinitiv Lipper Leader for Consistent Return (Effective Return) value in each eligible classification wins the Refinitiv Lipper Fund Award. For more information, see www.lipperfundawards.com. Although Refinitiv makes reasonable efforts to ensure the accuracy and reliability of the data contained herein, the accuracy is not guaranteed by Refinitiv. All rights reserved. Used by permission and protected by the Copyright Laws of the United States. The printing, copying, redistribution, or retransmission of this Content without express written permission is prohibited.

Corporate Disclosure

DoubleLine Team

2021, 2022 Financial Advisor IQ, Service Award Winner – Audio and Video Content. Financial Advisor IQ Service Awards are based on the online votes of 903 financial advisors, across brokerage, RIA and other channels, surveyed in April through June, 2021.

Now in their 3rd year, the FA-IQ Service Awards are based on the votes of financial advisors who participated in an an online survey in April, May and June.

In all, 742 advisors voted in 2022. Respondents represented multiple channels: 61% came from broker-dealers (including 40% from independent and regional BDs, and 19% from wirehouses), 32% from independent RIAs, and 4% from insurance agencies.

In rating asset managers, advisors identified the companies with which they have worked from a list. Then, for each category, they chose which among the companies they work with they considered outstanding.

We split asset managers up based on the total mutual fund and/or ETF assets each managed (to reflect the "retail" business), even when the company has a much larger institutional business. Advisors could choose from:
● 32 “large” managers (those with $100 billion or more in mutual fund/ ETF assets)
● 51 “midsize” managers (those with $20 billion to $99 billion in mutual fund/ETF assets)
● 60 “small” managers (those with $5 billion to $19 billion in fund/ETF assets)

For recordkeepers, Erisa law firms and TDF providers, we relied on votes from all advisors, but especially those with significant DC plan business.

Ignites Research, an FA-IQ affiliate, compiled the votes and oversaw these awards.

2018 Chief Investment Officer Magazine, Asset Management and Servicing Winner - Fixed Income/Credit. CIO Magazine seeks nominations through its website. Received approximately 300 nominations. DoubleLine was nominated by CIOs themselves. The staff researches the nominees by, among other things, reaching out to "asset owners in the community." The magazine chose a list of finalists and then chose a winner based on recommendations from the CIOs.
Institutional Investor, U.S. Fixed Income – Core Plus Fixed Income. Institutional investor U.S. Fixed Income—Mortgage Backed Securities award winners are chosen by the editorial staff of Institutional Investor magazine based on their market intelligence, performance data and additional information received from the industry following a public call for nominations.

2013, 2014, 2016 Institutional Investor, U.S. Fixed Income – Mortgage-Backed Securities. Institutional investor award winners are chosen by the editorial staff of Institutional Investor magazine based on their market intelligence, performance data and additional information received from the industry following a public call for nominations.

2016 Risk Magazine, Institutional Investor of the Year. Institutional investor award winners are chosen by the editorial staff of Institutional Investor magazine based on their market intelligence, performance data and additional information received from the industry following a public call for nominations.

2015 Risk Magazine, Asset Manager of the Year. Winners of the Risk Awards in the end-user categories were nominated because they demonstrate best practice in risk management/derivatives trades, have made significant improvements to risk management, have executed an innovative trade or, in the case of hedge funds, posted good returns in a difficult environment.

Deputy Chief Investment Officer, Jeffrey Sherman

2020 Business Insider, 10 Must-Listen Investing Podcasts. Competiello, Christopher. "These 10 must-listen podcasts can help you master investing, from day-trading to real estate." Business Insider. 5 March, 2020. Opinion based article.

Director of International Fixed Income, Luz Padilla

2020 Barron’s, 100 Most Influential Women in U.S. Finance. Barron’s, 100 Most Influential Women in U.S. Finance. Honorees were chosen by a panel of Barron’s writers and editors, based on external and Barron’s nominations. It includes chief financial officers at major U.S. companies, leading executives at some of the nation’s largest banks and brokerages, stellar investment managers and securities analysts, and public servants and policy makers.

2019 Money Management Executive, Top 10 Women in Asset Management. Money Management Executive used a nomination process that sought industry participation. Editors then reviewed candidate qualifications in order to select the final choices. The 10 women chosen have made noteworthy contributions to their firms, the broader asset management industry and their communities.

2016, 2018 Citywire, USA, 20 Top Female Portfolio Managers in the U.S. Citywire chose women who had top-quartile absolute returns in their discipline and the highest levels of risk-adjusted returns over the past three years.

Chief Investment Officer, Jeffrey Gundlach

2017 Fixed Income Analysts Society, Inc. (FIASI), Fixed Income Hall of Fame. In 1995, the Fixed Income Analysts Society established a Hall of Fame to recognize the lifetime achievements of outstanding practitioners in the advancement of the analysis of fixed-income securities and portfolios. Inductees will have made major contributions to the advancement of fixed-income analysis and portfolio management. These contributions may be academic, business-related or FIASI-related. The Board of Directors determines the annual inductees.

2012, 2015, 2016 Bloomberg Markets Magazine, 50 Most Influential. Markets 50 Most Influential magazine editors favor recent accomplishments above lifetime achievements to build their list. They rely on the rankings, profiles, and cover stories they publish throughout the year in Bloomberg Markets.

2014 Forbes, Most Powerful People. A panel of Forbes editors ranked all candidates in each of these four dimensions of power, and those individuals rankings were averaged into a composite score. 1) Power over lots of other people, 2) Financial resources controlled by each person measuring company’s assets and revenues. 3) Powerful in multiple spheres or areas 4) Candidates actively using that power.

2013, 2014, 2016 Institutional Investor, Money Manager of the Year. Manager winners are selected by the editors of the magazine based on the results of a survey conducted of U.S. institutional investors.

2007 Murray Coleman and Jonathan Burton. “Subprime woes aren't over, fund manager warns.” Market Watch. Market Watch, Inc. 27 June 2007.