Socially Responsible Mutual Fund Charts: Fund Profiles

Fund Profiles: A full summary of each individual fund, including methodology, detailed screening information, general company description, proxy voting access, and financial cost to begin investment.

Financial Performance Screening & Advocacy Proxy Voting Account Minimums Fund Profiles
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Ariel Fund


Jump to: General Fund Information | Fund Company Information | Account Minimums | Methodology | Proxy Voting Information | Specific Screening Information by Category

General Fund Information - [Top]
Ticker: ARGFX

General Fund Category: Equity Mid-Small Cap
 
Specific Sizes or Types of Investments: Market capitalization between $1 billion and $5 billion; mutual fund
 
Financial Objective: Long-term capital appreciation
 
Specific ESG Focus: Ariel Funds follows a disciplined, patient investing philosophy that begins by searching for under-valued or under-followed companies in consistent industries that have demonstrated a potential for growth. We believe ethical business practices make good investment sense and accordingly determine if a company meets our social screening criteria.

To invest, call: 312-726-0140

Disclaimer: For the period ended June 30, 2009, the average annual total returns of Ariel Fund for the one-, five- and ten-year periods were -27.47%, -6.92% and 2.60%, respectively. Performance data quoted represents past performance. Past performance does not guarantee future results. All performance assumes the reinvestment of dividends and capital gains. 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 lower or higher than the performance data quoted. Performance data current to the most recent month-end for Ariel Fund may be obtained by visiting our website, arielinvestments.com.

Fund Company Information - [Top]
ARIEL INVESTMENTS

Offers two publicly traded, socially responsible mutual funds: Ariel Fund and Ariel Appreciation Fund. Screens include: environment, diversity, community, tobacco, handguns, and nuclear energy. Ariel Fund invests in companies with market capitalizations between $200 million and $2 billion, while Ariel Appreciation Fund invests in companies with market capitalizations between $1.5 billion and $10 billion. (800)29-ARIEL.

200 E. Randolph Dr., Ste. 2900
Chicago, Illinois 60601-6436
Phone: (800)292-7435
Fax: (312)612-2702
thepatientinvestor@arielinvestments.com
http://www.arielinvestments.com

Account Minimums - [Top]
Minimum Account:  $1,000
Minimum IRA:  $250

Methodology - [Top]

Primary Qualification: We apply financial criteria first, ans then conduct social screening

Screening Venue: In-house and outside

Screening Party: Research analysts, KLD Research, Trust Simon

Screening Database Used: Ariel utilizes the KLD and Trust Simon databases in our screening process.

Screening Process: Ariel Appreciation Fund does not invest in corporations whose primary source of revenue is derived from the production or sale of tobacco products or the manufacture of handguns. We also screen out nuclear energy companies as a result of their environmental liabilities. We believe all of the aforementioned industries are more likely to face shrinking growth prospects, draining litigation costs and legal liabilities that cannot be quantified. Since we believe ethical decisions impact long-term success, we also consider a company’s environmental policies when evaluating a stock for purchase in our portfolios. Although this is not a formal screen, it plays a role in our decision making process. The environmental record is assessed by reviewing research from outside vendors that provide such services. This research examines many aspects of a company’s environmental record, including whether it is taking positive steps toward preserving our environment, whether a company is a defendant in any environmental cases and faces significant fines, and how the company performs relative to its peers within the respective industry on environmental issues. In the long run, a company that adopts environmentally sound policies is likely to face less governmental intrusion on its business. Subsequently, we also encourage portfolio companies to have an open dialogue on giving back to the community, a dedication to education, and proactive diversity practices. Strong corporate citizenship that fosters community involvement among its employees should inspire community support. Educating people on the benefits of saving and investing promotes a stable future. Additionally, we believe that a company that cultivates diversity is more likely to attract and retain the best talent and broaden its markets in profitable new directions.

Proxy Voting Information - [Top]


Proxy Voting guidelines or policies are available online at Not Applicable.

Proxy Voting records are available in printed form by request. Call fund company. (800)292-7435
Also available online at Call (312) 726-0140.

Specific Screening Information by Category - [Top]

  • Products/Processes > Alcohol Investments NOT SCREENED for this concern
  • Products/Processes > Animal Testing Investments NOT SCREENED for this concern
  • Governance > Board Issues Proactive investment We view the diversity of a firm's board and senior management as very important. Ariel and Russel Reynolds launched the Black Corporate Directors Conference to foster discussions in board diversity
  • Environment > Clean Tech Investments NOT SCREENED for this concern
  • Social > Community Development Proactive investment We have made a firm-wide commitment to social/civic responsibility. We have partnered with Nuveen Investments to launch the Ariel Nuveen Investment Program for a neighborhood Chicago public school.
  • Products/Processes > Defense/Weapons No investment None in corporations whose primary source of revenue is from the manufacture of handguns
  • Social > Diversity & EEO Proactive investment We believe that a company that cultivates diversity is more likely to attract and retain the best talent ans broaden its markets in profitable new directions.
  • Environment > Environment/Other Investments NOT SCREENED for this concern
  • Governance > Executive Pay Investments NOT SCREENED for this concern
  • Gambling Investments NOT SCREENED for this concern
  • Social > Human Rights Investments NOT SCREENED for this concern
  • Social > Labor Relations Investments NOT SCREENED for this concern
  • Products/Services Investments NOT SCREENED for this concern
  • Environment > Pollution & Toxics Proactive investment Since we believe ethical decisions impact long-term success, we also consider a company's environmental policies when evaluating a stock for purchase in our portfolios.
  • Products/Processes > Tobacco No investment (by fund policy). None in corporations whose primary source of revenue is from the production or sale of tobacco

Investing in small- and mid-cap stocks is more risky and more volatile than investing in large-cap stocks. For more information about the Funds, including fees, expenses, and potential risks, call (800)292-7435 for a prospectus or write the distributor. Please read it carefully before you send money. Ariel Distributors, Inc. 200 E. Randolph Dr., Ste. 2900, Chicago, IL 60601.

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