At First Allied, you re not simply a financial advisor who sells a product.

Transcription

1 At First Allied, you re not simply a financial advisor who sells a product. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 1

2 You re a business owner whose enterprise should grow and scale profitably. 2 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

3 That s the foundation of First Allied s philosophy. Years ago, we made a decision to drive our own growth by helping our advisors businesses grow and we ve built our entire approach around providing the support and funding you need. In other words, your growth is our business. We offer an array of financial solutions, innovative programs and services, and access to experts to enable your business growth. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 3

4 FIRST ALLIED SECURITIES, INC. Your growth is our business. At First Allied, our main goal is to help our advisors grow their businesses in the way they choose. We truly believe your growth is our growth. A full-service, independent broker/dealer, First Allied is a trusted partner to nearly 1,000 of the most driven financial advisors throughout the nation. Founded in 1994, we have remained focused for nearly two decades on collaborating with accomplished financial advisors who share our desire to grow their businesses. Headquartered in San Diego, Calif., we also have offices in Scottsdale, Ariz., Walnut Creek, Calif., and St. Louis, Mo. Resources for Your Growth We focus on quality over quantity, and dedicate resources to enable personalized consulting that helps your unique business thrive. First Allied now boasts one of the industry s most robust independent advisor networks, well-funded to give you access to capital, technology, and business-building resources. At the same time, we offer personal attention and a boutique feel with a 3:1 ratio of advisors to First Allied support staff. Because your growth is our growth, we facilitate your business success with unique offerings. Unique Offerings Facilitate Your Success: Tools for customized marketing and branding A robust Succession Planning and Business Acquisitions platform Pentameter TM, the industry s most holistic practice management portal and integrated business consulting process First Allied University, an intensive, customized wealth management curriculum that teaches you how to most effectively market and grow your business Guided Retirement Solutions, a comprehensive program designed to help you build and run your retirement planning business 4 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

5 Your Business. Your Choice. As an independent advisor, you have the ability to pick and choose which resources you believe will help you and your business the most. First Allied supports your independence on every level, and seeks to provide best-in-class options for you and your clients. We simply provide the platform and technology that allows you to operate your business efficiently and effectively. For example, you can take advantage of our technology, including paperless office options, a mobile application that you can use to monitor your business progress and service requests on the go, and esignature, which allows you to send forms to your clients for signature electronically. All are designed to improve your operational efficiency and give you and your staff more time to focus on revenue-driving activities. First Allied advisors can clear their brokerage business through either Pershing LLC or J.P. Morgan Clearing Corp. First Allied is a member of the retail advice platform of RCS Capital Corporation (NYSE: RCAP), branded as Cetera Financial Group. Your independence and your freedom to find the best solutions for your clients define our business. Headquarters First Allied 655 W. Broadway, 12 th floor San Diego, CA At First Allied, our main goal is to help our advisors grow their businesses in the way they choose. We truly believe your growth is our growth. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 5

6 YOUR GROWTH IS OUR BUSINESS A disciplined approach to business growth. Pentameter For example, we re changing the game with Pentameter : a practice management platform and business-consulting system that brings together everything we ve learned about helping advisors grow their business. In every phase of your firm s life cycle, you get an analytical, data-driven approach to improving your efficiency and profitability, plus personalized coaching to assist you with implementation. give you a way to quickly, accurately gauge your practice s strengths and potential for improvement via five Measures: Business Development Operational Efficiency Human Capital Business Management Succession Planning You ll get a concrete analysis of your expenses how much are you spending on staffing? Marketing? Rent? Client acquisition? And how are those investments paying off? The evaluation helps you identify specific opportunities for improving your efficiency and profitability, set attainable goals, create an action plan, implement the plan and track your progress. Evaluate your practice s performance in five key Measures. Pentameter s targeted diagnostic evaluation and financial metrics If you want to move forward on your own, you have access to a suite of resources designed to address your practice s challenges and opportunities including First Allied s Succession Planning and Business Acquisition Center, our advisor marketing experts, quantitative tools, white papers, best practices guides and practice management templates. 6 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

7 Customized, One-On-One Help Your firm s needs are unique so we provide customized, one-on-one help. You might choose to work with a member of First Allied s Business Consulting Group to implement your action items. Pentameter gives your consultant a detailed level of insight into your practice s unique needs and capabilities, enabling him or her to tailor solutions just for you. Your consultant s suggestions could include everything from new marketing ideas, to managing profitability in a way that increases both your gross and net revenues, to suggesting changes in your firm s structure and compensation model. As you execute your plan, the Pentameter platform allows you to track your progress toward achieving your goals, update your assessments, and improve your business scores. You can see your data a real-time snapshot of the state of your business at any time using the intuitive Pentameter dashboard. Succession Planning and Business Acquisition Center Succession planning is an essential part of running a successful financial advisory business. What would happen in the event of your sudden incapacitation or death? Do you have a succession plan in place that will enable your estate and your heirs to be compensated for what you ve worked to build? First Allied s Succession Planning and Business Acquisition Center, the most comprehensive in the industry, helps you protect yourself against unforeseen events and maximize the value of your business by capitalizing on opportunities for expansion, no matter where you are in the life cycle of your practice. The center has resources to guide you through three critical strategies: Continuity planning Succession planning Business acquisition You ll find instructional videos, templates, sample legal documents, best practice guides and step-by-step implementation plans for mapping the next steps in your firm s journey. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 7

8 CLIENT ACQUISITION We bring qualified clients to you. Many financial advisors have long relied on word-of-mouth referrals from current clients to bring in new clients. Nothing will ever replace that kind of friends-and-family marketing, but there s so much more you can do. First Allied has created a suite of products and services designed to help you grow your business by identifying qualified prospects and establishing areas of expertise that differentiate you from the other financial advisors in your area. We Respect Your Independence We respect your independence. You know your business best, so we offer a wide range of seminars, strategies, materials and lead databases designed to attract the kind of clients you seek. All you have to do is choose the offerings that fit the way you want to grow your business. We Help You Stand Out We help you stand out with exclusive products, content and delivery mechanisms. For example, our Greenbook wealth-management program was designed exclusively to address the unique financial challenges faced by physicians and dentists. The program helps you identify qualified doctors in your area and put on an elegant turnkey seminar program that attracts strong prospects. The program lets you take the lead in your clients financial lives by providing fully integrated financial planning that s designed especially for doctors, delivered and managed by you as a single point of contact. We also offer a host of doctor-targeted marketing materials that you can customize with your firm s branding. Once you ve introduced yourself to prospects, our in-house specialists provide you with detailed research including information on doctors earning, spending and saving patterns across specialties and age groups so you have the information you need to 8 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

9 speak your prospects language and gain the sale. Our team then collaborates with you to design customized financial plans that help your clients reach their goals as efficiently as possible with less risk. We Maximize Your Time We maximize your time with streamlined, turnkey offerings that are pre-approved by compliance. In addition to Greenbook, we have a menu of seminars and supporting materials that target federal employees, pre-retirees, Social Security maximization strategies, prospects interested in alternative investments, and more. In every case, our lead databases provide you with access to highly qualified prospects. The setup is simple: you identify the geographic area you want to zero in on, select the marketing program you d like to present, and reserve a venue. We do the rest to help you deliver a world-class event that results in a strong list of prospective clients. Afterward, our team is there to provide as much support as you d like to follow up and close the sale. We Support Your Efforts We support your efforts by giving you exclusive access to subject matter experts who can help you convert prospects into clients. They re available to consult with you on a case-bycase basis, attend important client meetings via phone and video conference, and deliver presentations to potential clients in your area. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 9

10 BUSINESS GROWTH PROGRAMS Tools to help you grow your business. When You Grow, So Do We You Choose Where You Want to Focus That s one of the reasons why we created First Allied University, an intense, energizing, advanced training program that focuses on teaching you strategies designed to improve your margins and revenue yield per client. Offered exclusively to First Allied advisors, First Allied University helps you capture more of your clients wallet share, gain more referrals and retain your clients longer. First Allied University incorporates four tracks, representing areas that generate growth based on top producers experiences: Comprehensive wealth management Disciplined business planning Practice differentiation and branding Client acquisition and marketing 10 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

11 A Wealth Management Framework That Works Created in collaboration with Cannon Financial Institute, the First Allied University curriculum is based on extensive research into the behaviors that separate top producers from average advisors. Centered around 13 Wealth Management Issues that reflect all the components of your clients financial lives, the courses teach you how to: Create the ideal client experience Develop your unique branding Work with particular market niches Enhance your interviewing and presentation skills Increase your closing ratio to 90% Integrate the 13 Wealth Management Issues into your business Become a Certified Wealth Strategist (CWS ) When you complete the First Allied University curriculum, you can choose to earn Cannon s Certified Wealth Strategist designation, the full cost of which First Allied reimburses to you after you achieve the designation. Masters Program: The Next Level In response to advisors who complete the training, earn the CWS designation and want to learn more advanced wealth management and growth strategies, we created the Masters Program. The program uses roleplaying and intensive discussions to block out specific client conversations; provides further information about retirement, investments, insurance and estate planning; and shows you how to leverage other experts and technology to grow your business. First Allied University gives you real tools, effective strategies, significant resources, and direction provided by experienced professionals and subject matter experts. It all adds up to a game-changing, competitive advantage for your firm. By The Numbers: $414,436 Gross revenue per advisor 3:1 Our advisor to employee ratio 7 Average number of years employees stay with First Allied We invest in the resources advisors need to reach their growth goals. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 11

12 ADVISOR MARKETING You are the brand. Running a successful business means staying in touch with all your clients, keeping up with a wide array of financial products and investment vehicles, ensuring that you meet compliance requirements, managing your day-to-day office operations, and so much more. But as the face of your firm, you are the brand. So how do you find time in your workday to define and build that brand, market yourself and track your efforts? How do you effectively and efficiently keep in touch with current clients and prospects, share information, and offer concrete solutions to their evolving needs? Many broker/dealers leave you on your own with marketing, offering minimal materials that you have to figure out how to customize. A New Approach At First Allied, we re taking a new approach. Our in-house Advisor Marketing team begins by helping you define your brand and your value proposition the qualities that make you different from other advisors and the ways you make your clients lives better. Then we help you bring those differentiators to life through the marketing vehicles that best fit your business. 12 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

13 The Tools We Put to Work for You Include: A professional and compelling capabilities brochure that showcases you, your approach and what sets your firm apart An automated marketing system that keeps you in frequent touch with prospects and clients via: A logo and stationery package that capture the essence of your brand > Weekly, monthly and quarterly market updates A robust, search-engine-optimized website that provides an overview of your firm alongside useful, frequently updated content Social media training, content and support (including a social media manager, if you choose to use one) that make Facebook, LinkedIn and Twitter simple and effective tools for your business > and blog content featuring engaging and informative topics important to your clients, and metrics that track who reads each piece > Audio and videocasts featuring highprofile experts like First Allied Asset Management CEO and President, Craig Columbus, a regular contributor to CNBC A mobile app that connects your clients with you anywhere, anytime > Social media updates that deliver useful information in compelling, digestible bites (and provide analytics on the response to each post or tweet) If you prefer to create and maintain your own materials, we have brochure, website and social media resources available for your use. Your investment in marketing should be a driver of revenue for your business, so our team of experts is focused on helping you use these tools to get the biggest possible return on your investment. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 13

14 PRIVATE CLIENT SERVICES Attract and serve high-net-worth clients. At First Allied, we believe that giving our advisors access to a larger high-net-worth clientele is an important way to build business, so our Asset Management team and Private Client Services group offer their expertise to build custom portfolios and personalized wealth management plans for your clients with investable assets of $1 million or more. In-House Experts Our in-house experts increase your capacity (and your credibility). You own and maintain the client relationship: discovering and translating your clients needs and objectives, supervising the implementation of their wealth management plans and income planning, and monitoring investment performance as your clients needs evolve. Experts from Private Client Services, an investment advisory program offered by First Allied Advisory Services, consult with you on creating a customized, comprehensive wealth management offering that meets high-net-worth clients needs, assesses and reduces their investment risk, synchronizes the components of their complex financial lives, and addresses their desire for risk management. And our in-house portfolio management team, which is part of First Allied Asset Management, is our innovative investment management firm 14 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

15 We Give You National Recognition that provides strategies to First Allied financial advisors. The team is a source for leading-edge research, manages clients overall allocations, and handles day-to-day portfolio management. Extra Services Add Value Every Private Client Services client has access to a personal financial website, powered by emoney, where they can see their complete financial picture, store important documents in a digital vault and collaborate with you in real time all in one private, completely secure location. Its data aggregation feature gives you insight and opportunities with assets you might not be seeing or managing already. In addition, members of our team who are experts in asset allocation, alternative investments, economic forecasting and other areas are available for meetings, calls, video conferences and presentations with your high-net-worth clients. You and your clients enjoy unique access to and interaction with our portfolio managers, a strategy that helps keep your client relationships strong. Craig Columbus, First Allied Asset Management s CEO and President, is a regular contributor to CNBC and the co-author of the best-selling God and Man on Wall Street: The Conscience of Capitalism. The former Executive Vice President and Chief Market Strategist for Thomson Financial s Wealth Management unit, Columbus and his team use their asset allocation and financial engineering expertise to manage more than $1 billion in assets for First Allied financial advisors and their clients. When you provide your high-net-worth clients with unparalleled planning, expertise, information and service, you ll capture a larger share of their wallets and strengthen their loyalty to your firm. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 15

16 ADVISORY PLATFORM An Advisory Platform That Elevates Your Fee-Based Business Whether you choose to manage your clients assets on your own, or delegate the responsibility to a strategist or investment manager, Guided Portfolio Solutions (GPS) allows you to manage accounts efficiently and effectively, thus increasing your productivity and profitability. This sophisticated, yet simple platform has advisor-directed and centrally managed accounts in one place, all with the same easy-to-use capabilities that enhance your ability to manage money and drive growth. We consolidated the options into three advisory programs that were designed with your clients goals, and your ease of use, in mind. Advisor Select, our advisor-managed option, gives you access to the same type of infrastructure used by top institutional asset management firms. Allocation Series is a full asset allocation solution that provides one point of access to a broad range of complementary investment strategists, while Manager Series offers a comprehensive list of institutional money managers including some of the largest and most sophisticated managers available today, as well as boutique and emerging investment managers not yet extensively available in the industry. Advisory Programs Advisor Select Allocation Series Manager Series 16 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

17 To save you time and money, you can combine any number of models from across the three GPS advisory programs into a single custodial account using our Portfolio ONE solution. You also have the flexibility to make updates to clients investment solutions without the significant burden of new paperwork, as long as you stay within their documented risk tolerance. No matter which advisory program you use, GPS gives you access to consistent, high-quality proposals, model and account management tools, straightforward and timely performance reports, and the ability to household accounts, among other features that support your growth. You have the flexibility to make updates to clients investment solutions without the significant burden of new paperwork, as long as you stay within their documented risk tolerance. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 17

18 GUIDED RETIREMENT SOLUTIONS A comprehensive program designed to help you build and run your retirement planning business. There s never been a better time to grow your business by getting into the retirement planning space. When you offer your clients the chance to provide competitive retirement plans to their employees at a reasonable cost, you re helping to maximize the profitability and growth of your practice and you re building client loyalty for a lifetime. While employer-sponsored retirement plans represent a tremendous area for growth, some common obstacles have often prevented advisors from taking advantage of the opportunities. For example, we know that advisors have been frustrated by shifting rules and transparency requirements, questions about fiduciary standards, and a lack of accessible tools and resources to service plans effectively. 18 FIRST ALLIED YOUR GROWTH IS OUR BUSINESS

19 That s why First Allied has developed a comprehensive new platform, Guided Retirement Solutions, to help you identify and capture opportunities in defined contribution plans, defined benefit plans and rollovers. Guided Retirement Solutions gives you an integrated dashboard that provides everything you need to manage your clients employersponsored plans, including: Disclosures, fiduciary services and recordkeeper data Lead and prospect tracking tools Customizable communications and reporting Client and plan management tools Investment research analytics 401(k) and Rollovers If you re an advisor who wants to expand your footprint in the 401(k) and rollover market, the Guided Retirement Solutions platform offers training and best practices to equip you with the resources you need to prospect for plans and manage them effectively. More Experienced Advisors If you re a more experienced retirement plan advisor, the platform offers tools to improve your workflow and plan management processes. FIRST ALLIED YOUR GROWTH IS OUR BUSINESS 19

20 Start a gamechanging conversation with us today FIRST ALLIED YOUR GROWTH IS OUR BUSINESS FAS-9001/SEP14