OUR SERVICES & SUPPORT YOUR AFFILIATION FEE INCLUDES (not limited to):

Transcription

1 UNPARALLELED SUPPORT TO HELP BUILD LEGACIES OUR SERVICES & SUPPORT YOUR AFFILIATION FEE INCLUDES (not limited to): TECHNOLOGY STACK 3 Redtail CRM (Client Relationship Management) 3 Riskalyze (Risk Tolerance/Planning/Investment Policy Statements) 3 Peter Montoya MarketingLibrary (Marketing) 3 Horsesmouth (Practice Management Insights) 3 Wealthscape (NFS & SPC), Black Diamond (SPC) 3 Microsoft Outlook Hosted Exchange 3 More to come... including Docupace (Workflow/Imaging/Forms Management), Digital Advice (ROBO) Options, Automated Advisory Billing System (with credit card capability), Comprehensive Account Aggregation Software 3 Software Discounts or Special Access (MoneyGuidePro, Investigo Client Source, Morningstar CAM, DST Vision Pro, Fi360 Tools) SERVICES & SUPPORT BROKERAGE OPERATIONS 3 National Financial Services (NFS) Liaison/Advocate for Advisors 3 Full Retail Broker-Dealer Support 3 Trade Desk with Professional Traders 3 On-Line Portal for Business Submission/Support 3 Wealthscape Training & Assistance (Client Information, Markets & Research, Trade, Service, Reports, & Tools) 3 Access to mobile Remote Check Deposit capability for NFS accounts 3 Retail Brokerage Compliance Assistance 3 Alerts on NFS Policies & Procedures Requiring Immediate Attention CASE PLANNING 3 Specialized Advice from Designated, Licensed, Experienced Individuals (who have their own books of business) Strategic Business Planning Qualified Retirement Planning Product Comparisons Asset Allocation & Rebalancing Assistance Hypothetical Illustrations Bond Portfolios 1

2 3 Product & Third-Party Manager Due Diligence 3 Third-Party Manager Selection Assistance 3 Case Plan Analysis & Support using: Morningstar Analysis (Advisor Workstation) Social Security Timing MoneyGuidePro Annuity Intelligence Third-Party Equity Research & Reports Internal Research & Reports (Fi360 Tools) 3 Support for Qualified Plan Marketing, Sales, Service, & Compliance 3 Support for IRA Establishment & Guidance on Distributions (Traditional/Roth, Beneficiary/Inherited) 3 Guidance on Fiduciary Best Practices 3 Alternative Investments Due Diligence & Sales Support, & Training (through AI-Insight) 3 Individual Consultative Guidance & Ideas for: Practice Management Marketing (including bi-weekly Marketing Minute Newsletter) Seminar Selling Sales Presentations 3 Maintain Product Knowledge with Staff Specialists in: Mutual Funds & ETFs Equities Fixed Income Non-Correlated Investments Insurance and Fixed & Fixed Indexed Annuities Unit Investment Trusts Variable Annuities 3 Assistance with College Savings Plans 3 Help with Managed Money/Fee-Based Programs 3 Communications with Advisors ( s, Websites, Newsletters, WebEx Meetings, Roundtable Discussions, Practice Management Road Shows, Regional Meetings, Annual Conference) 3 Tech Stack Best Practices Consultation (How best to use Redtail CRM, Riskalyze, MarketingLibrary, Horsesmouth in your practice) 3 Other Software User Support (Morningstar CAM, Fidelity Retirement Income Evaluator, Fi360 Tools, Wealthscape) COMMISSIONS 3 Commissions & Fees Payable Processing 3 Early Check Request Processing 3 Work with You on Payment Plans, if needed, on Chargebacks/Errors 3 Specialized Commissions & Fees Reporting, including Historical Data 3 Help You Evaluate Past & Present Commissions & Fee Levels 3 Facilitate Succession Plan Updates & Implementing Buy-Out Agreements 3 Commissions Portal Assistance & Research Commissions & Fee Questions 3 Assist in Researching Commissions Issues with Product Providers 2

3 COMPLIANCE 3 Consultative Approach to Maintaining Rep Compliance 3 Internal Branch Audits & Feedback/Advice 3 Help You with the Examiner at Branch Regulatory Audits 3 Compliance Review of all Your Materials, Ad Review, Communications Review 3 Review Sales Programs & Third-Party Marketing Materials 3 Trade & Sales Review 3 Support & Provide Advice on Social Media Use 3 Assist in Managed Account Monitoring for Customer Tolerances 3 Continuing Education 3 Updates & Alerts on Regulation Changes 3 Cybersecurity/Identity Theft Prevention Program 3 Assist with Regulatory Inquiries & Arbitrations FIRM DEVELOPMENT 3 New Rep Transition Support 3 Assist with Business Succession Planning 3 Assist with Business Acquisitions LICENSING SUPPORT 3 Monitor FINRA Series Licenses 3 NRF Setup & Training 3 Annual License Renewal Support 3 Monitor Licensing Regulations to Ensure You Stay Compliant 3 FINRA Liaison & Intermediation; Maintain Direct Contacts at FINRA 3 Branch Office Address Change Processing, including Updating Insurance Carriers 3 Communicate Licensing Requirements to Insurance Carriers on Your Behalf 3 Branch Office Audit Preparation & Support 3 Special Back Office Operations Training for NRFs/Administrators RELATIONSHIP MANAGEMENT 3 Advisor Advocate & Back Office Liaison 3 Business Development Support 3 Personal Service/Escalation Contact for Ongoing Issues 3

4 SPC 3 Fidelity Liaison/Advocate for Advisors 3 Fidelity Platform Support (Managed Accounts & Envestnet) 3 Full RIA General Service Support 3 Money Manager Due Diligence 3 Third-Party Manager Selection Assistance 3 Wealthscape Training & Assistance for SPC Accounts 3 Access to mobile Remote Check Deposit capability for SPC accounts 3 Envestnet & Black Diamond Training & Assistance 3 RIA-Specific Compliance Team Sales Review (Sigma Managed & Envestnet Accounts) Hourly Planning Assistance Education Assistance on Due Diligence & Fiduciary Best Practices Protegent Suitability Account Monitoring to Help You Maintain Alignment between Portfolios & Client Needs/Tolerances, and Enhance Communication between You & the Back Office Sigma Managed Account Billing, including Trade Corrections & Rebates Assistance with Account Rebalancing & General Trading Support TECHNOLOGY 3 Tech Support for Your Local Devices Hands-on, friendly, patient, professional Help Desk 3 General Technical Support 3 Remote Screen & WebEx Support 3 One-on-One In-Person Consulting 3 Software Training 3 Hardware & Software Troubleshooting 3 Virus & Malware Removal 3 Hosted Exchange & Encrypted Service, including Setup & Mobile Assistance 3 Cybersecurity Consulting 3 Tech Stack Subscription Setup 3 Assistance with Tech Stack Software Integration Issues 3 Personalized Software User Support (Investigo Client Source, Morningstar CAM, DST Vision Pro, Docupace, LaserApp, Microsoft Office) 3 Training Materials through WebEx, New Rep Training, and Live Industry Updates 3 Hands-on Mobile Help 3 Graphic Design & Logo Creation/Website Consultation 3 Assistance with Computer & Equipment Purchases as well as added Discounts 3 Forms Library & Website Maintenance 3 Implementing Two-Factor Authentication for Account Access 4

5 CORPORATE CULTURE & SERVICE ORIENTATION 3 We DELIVER unparalleled support to help build legacies 3 Direct Access to Management Team 3 Personal service: A real person always answers your calls 3 A friendly, knowledgeable staff nurtures personal yet professional relationships 3 Caring staff empowered to deliver personal, innovative support 3 Onboarding, Succession, Acquisition, Transition Planning 3 Regional & Roundtable Meetings 3 Practice Management Road Shows 3 Annual Practice Management Conference 3 Top Producers Conference 3 We CARE about you, your practice, your family your present, your future For Representative Use Only. Not for Public Distribution. 5