FLEXIBLE TECHNOLOGY TO DELIVER ONLINE INVESTMENT SERVICES TO YOUR CLIENTS

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1 FLEXIBLE TECHNOLOGY TO DELIVER ONLINE INVESTMENT SERVICES TO YOUR CLIENTS

2 NetExchange Client provides your clients with an essential solution for managing their investments online. By using this platform, they can manage their financial portfolios in an efficient and user-friendly environment. This convenient service is at their fingertips day and night, seven days a week. Investors Want Greater Transparency, Information and Technology Integration. 2 NETEXCHANGE CLIENT

3 Your Online Investment latform ershing s NetExchange Client provides your clients a highly integrated online platform with access to consolidated account information, a variety of third-party market research, financial planning tools, quotes and news allowing them to effectively manage their finances. Built for Success NetExchange Client can be configured to meet both your needs and those of your clients. Flexible customization options allow you to add your firm s brand elements, as well as custom pages, to the platform. Exciting features and content, including market information, investing tools, display functionality and online trading are available for your clients, all controlled by your firm via entitlements. The NC Wealth and Values Survey found that 74% of wealthy individuals want greater transparency from their financial institutions. 1 74% 77% Similarly, 77% said information and technology integration allows them to better manage their investments. 1 1 Financial lanning magazine, NC Launches New Tech Tool, Industry Increases Spending, October, 2011 NETEXCHANGE CLIENT 3

4 The Benefits of NetExchange Client Efficiency Your clients can view their consolidated portfolio online, access gain or loss information, request asset movements and connect to multiple accounts. This contributes to increased productivity, because you can devote more time to enhancing your relationships, gathering assets and building your business. Customization Your firm can customize the website to complement your corporate image, including your logo and marketing materials. Entitlements allow you to offer specific content and functions to clients. Competitiveness With an extensive content offering from various research providers, including advanced screeners, your firm can offer some of the most competitive and advanced functionality in the industry. Client Service You can empower your clients with a resource to help them build and maintain their financial portfolios. This convenient online service is at your clients fingertips whenever and wherever they need it. 4 NETEXCHANGE CLIENT

5 TIMELY AND EASY ACCESS TO INFORMATION Timely and easy access to information is essential to build customer trust and loyalty... Insufficient client reporting capabilities is cited as a key driver to client attrition. Trends in the Global Wealth Management Industry High Net Worth Client erspective, CapGemini, 2012 NETEXCHANGE CLIENT 5

6 An Elegant Online Investment Solution Our usability teams have spent time with investors, investment professionals and firms like yours to understand and observe how they use technology. We have created an online experience that is fine-tuned to the way your clients want to do business making it intuitive and easy to use. Because Each of Your Clients is Unique. Through dynamic entitlements, your firm can control the level of access you offer to your clients. Your firm can also white label NetExchange Client and further customize the client experience. 6 NETEXCHANGE CLIENT

7 ortfolio Management With NetExchange Client, your clients can easily obtain information such as account balances, holdings, gain and loss information, history, projected cash flow and asset allocation. Summary A cleanly designed summary page provides a high-level overview of your clients portfolios displaying market valuation by account and an asset allocation pie chart. Balances Account balance information including long and short market value, money market funds, cash available and funds due is easily accessible. Holdings Clients can retrieve details on their holdings, such as intraday data by security type and realized and unrealized gains and losses. rojected Cash Flow rojected cash flow information is available for both equity and fixed income positions. History Up to two years of account transaction history can be viewed. Clients can search transactions by type, stock symbol, time period or a specific date. Electronic Delivery Clients can sign up for e-delivery of multiple documents for their accounts, including account statements and trade confirmations. BillSuite BillSuite enables your clients to view, pay and manage their bills online. It is available with Corestone Account, ershing s asset management account. DELIVER THE ACCESS YOUR CLIENTS DEMAND Clients of wealth management firms are demanding access to realtime reports on demand, but until recently, many firms were still using basic reporting tools for this purpose. Timely and easy access to information is essential to build customer trust and loyalty, especially during periods of severe market volatility. Trends in the Global Wealth Management Industry High Net Worth Client erspective, CapGemini, NETEXCHANGE CLIENT 7

8 Trading With the proper entitlements, your clients can enter orders online for stocks, options and mutual funds seven days a week. Funds available to trade and the estimated transaction value are clearly displayed for your clients convenience. For firms not interested in extending trading capabilities at the client level, the trading tab can be hidden. Informed Clients are Satisfied Clients You can help clients make informed investment decisions by providing access to real-time and delayed quotes, late-breaking news stories and comprehensive information and research on thousands of stocks, options and mutual funds. HIGH-NET-WORTH CLIENTS DEMAND ONLINE ACCESS High-net-worth clients overwhelmingly (66%) prefer to access news and insights online from their primary wealth management firm. Web sites need to provide easy access to analytics, research, news and answers to simple questions these are minimum standards. CEB TowerGroup, High-Net-Worth Client Experience Survey, Boston, MA: CEB, NETEXCHANGE CLIENT

9 Integration with Industry-Leading roviders The platform integrates with industry-leading providers to offer access to market research, quotes, financial planning tools and performance reporting data access your sophisticated clients demand. Market News and Commentary The latest industry, economic and market news, as well as analyst comments provided by Dow Jones and Midnight Trader, as well as market commentary from Argus and Morningstar Watch Lists Watch lists, enabling clients to track securities Alerts Market-driven alert setup using a straightforward, easy to use format Independent Research since 1934 Screening Tools Robust investment screening tools for equities, mutual funds and exchange-traded funds (ETFs) y reset criteria or more advanced options, including fund family, profile, performance, risk, portfolio and analyst ratings categories erformance Charting erformance charting of securities intraday, or up to 10 years of performance history Rateboard Interest rates, money fund rates, stock and option indices, commodity prices and currency exchange rates via the Rateboard y Links to further research on the underlying security; shortcuts to the trading screens are included for properly entitled users y Approximately 20,000 mutual funds from more than 550 fund families, including FundCenter and FundVest NETEXCHANGE CLIENT 9

10 Market Data through Collaboration with Markit On Demand You can tailor NetExchange Client to your clients needs. You can segment your client base and choose from a series of packages to control your own up-sell opportunities. By selecting different content tiers, you can satisfy a variety of business needs and address diverse user behaviors. Since you do not have to choose a one size fits all configuration to offer market data content to your clients, you can better control operational costs. The content tiers take the guesswork out of an á la carte approach: Bronze Tier Designed for firms looking to offer a basic selfdirected experience charting, news, commentary, events, screeners, trends, ideas and consensus research Silver Tier Created for firms with a high-touch focus, looking for pure idea generation for clients, top news, market movers and value-added articles Gold Tier Designed for clients asking for more premium research tools, including hot news, individual analyst reports from third-party providers, watch lists and alerts Streaming Quotes Includes NYSE, AMEX, ORA and NASDAQ streaming market data visible within watch lists and ticker-based search results roviding enhanced content options to your clients helps them stay better informed, which can help solidly your relationship. 10 NETEXCHANGE CLIENT

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12 Market Tab Markets Today News Quotes & News Tab Summary News Tools Tab Investing Ideas Screeners Multi Quote Compare Watch Lists and Market Alerts Charting Event Calendar Charting Fundamentals Dow Jones Business News U.S. Live Briefs from Midnight Trader Basic charting Sectors and Industries Earnings Insiders Events calendar data from Wall Street Horizon and Econoday Additional Features in the Tools Tab Advanced charting SmartText Analysis Daily Spotlight from Argus Market Watch and Market Movers from Argus Weekly Staff Report (first section) ortfolio Selector Equity Ratings from Argus Research Team Consensus Reports: Nineteen unique research providers contributing ratings Twenty-three unique models (quantitative or qualitative) used to generate ratings Eight providers are required to cover a stock for the consensus to cover that stock 5,799 North American companies covered by the Markit Research Team Consensus U.S. ETF and Mutual Fund Screener Data from Lipper U.S. Stock Screener Data From Factset: Equity Fundamentals Insiders/Ownership Sector and Industry trend information From Morningstar: Equity, ETF, Mutual Fund and IO Research Reports From Morningstar : Fundspy ETF Weekly Market Updates Additional analysis and commentary from Morningstar 2, including: Morning Notes Fund Manager Q&A ETF Specialist and ETF Spotlight Economic and Industry Insights lus Ultimate Stockpicker s Articles Stock & Bond Strategist Tips Sector Reports Global Financial News from Thomson Reuters The Day Ahead Newsletter from Thomson Reuters Additional Services from Thomson Reuters : The Day Ahead Newsletter Significant Developments Morning Call Newsletter Morning Call Newsletter Stock Reports + ETF/MF Fact Sheets (Lipper) 12 NETEXCHANGE CLIENT

13 BRONZE SILVER GOLD Choose a tier that is right for your business Bronze Tier Designed for clients who want a basic taste of the markets and securities across a number of sources Silver Tier Includes many of the Bronze basics plus top news, market movers and weekly insights Gold Tier Bronze and Silver package components plus advanced charting, technical market analysis, morning briefings, analyst reports and research ratings for equities, ETFs and mutual funds 2 Effective before December 31, 2012 NETEXCHANGE CLIENT 13

14 Client Access to Albridge Wealth Reporting Albridge, an affiliate of ershing, a BNY Mellon company, provides a consolidated performance reporting application providing unprecedented access to your clients account information. In addition, your clients have a customizable, holistic online view of their accounts. Albridge delivers on-demand reporting that covers performance, asset allocation, holdings analysis, transactions, benchmarking and more. NetExchange Client will connect your clients to their Albridge Wealth Reporting investor access screens via single sign-on no additional password to remember and no extra effort to access their data. Online Convenience NetExchange Client is an efficient and engaging way for your clients to manage their investment accounts. Additional Albridge services further empower your clients. Go aperless Choose e-delivery of account statements, tax reports, trade confirmations and other documents. View Account History View up to 10 years of account statements, seven years of tax statements and three years of trade confirmations. Special Features Take advantage of special features, including account nicknaming for easy identification and grouping, as well as a consolidated view of linked accounts. Market Indices Access quick quotes and information on various market indices from the right-side tool panel, available throughout the website. Integration Download account information into Quicken, TurboTax and TaxCut. Manage Your Business, Not Your Data For more information visit 14 NETEXCHANGE CLIENT

15 Model ortfolio Rebalance Dave Smith ortfolio Report as of: 12/20/2011 Composite 100% = $567,585 Current Allocation Model Allocation Moderate Asset Class Current Value ($) Model Value ($) Current (%) Model (%) Variance ($) LARGE CA EQUITY 150, , , SMALL CA EQUITY 21, , , INTERNATIONAL EQUITY 65, , , FIXED INCOME 227, , , CASH INVESTMENTS 11, , , OTHER 90, , Total: $567, $567, % 100.0% $0.00 NETEXCHANGE CLIENT 15

16 KEY ENABLER FOR ADVISORS TO IMROVE CLIENT SERVICE Higher priority put on client reporting tools by High-net-worth individuals (HNWIs) when choosing a wealth management firm makes it a key enabler for advisors to improve client service. Inadequate reporting was looked on with suspicion by HNWIs during the crisis. Firms are now realizing that client reporting is ranked as a top criterion by HNWIs when choosing a wealth management firm. Trends in the Global Wealth Management Industry High Net Worth Client erspective, CapGemini, Message Center With Message Center, your firm can provide important content on the login screen and throughout the application. Links will automatically take clients to their Message Center inbox. Your firm can present a message on the login screen, a site-wide message to be displayed on every page, or both. Security NetExchange Client is supported and hosted by ershing. ershing performs regular system checks to review the latest security challenges. 16 NETEXCHANGE CLIENT

17 Anytime, Anywhere Access On the road, in the office or on a mobile device, your clients have access to their accounts at their fingertips. NetExchange Client provides your clients with anytime, anywhere access to critical account information and market data. With many of the same features as the desktop application, NetExchange Client Mobile on ihone or iad allows your clients to check balances, positions, quotes and market indices. Additionally, equity and mutual fund trading functions are also available (controlled by entitlements). There is no additional charge to provide mobile solutions to your clients. 3 Our Growing Family of Mobile Solutions The key is anytime, anywhere access for you and your clients. Use the investment technology platform that is becoming the clear choice for financial professionals and investors worldwide. Whether you use the NetExchange Client app for the ihone and iad, or NetX360 on your ihone, iad, BlackBerry or Android devices, we can help you grow with 24/7 access to global opportunities. With online and mobile traffic continuing to rise, while traditional interaction methods such as branch visits continue to decline, firms have no choice but to embrace mobile technology and do so in the manner that most benefits both advisor and client. CEB TowerGroup, Mobile Technology and the Wealth Management Industry: Catching Up, Boston, MA: CEB, Although mobile access is free, clients who use the ihone or iad to access NetExchange Client will be counted among your firm s active users for billing purposes. NETEXCHANGE CLIENT 17

18 NetExchange Client Mobile Now you can access all your account information from your tablet or mobile device with NetExchange Client Mobile. With this app, available via the App Store on your iad and ihone, you will have fully-featured access to account information, such as balances, holdings, activity, order status, and account documents such as statements and trade confirmations. You can also view realtime quotes and place trades for equities and mutual funds to help you stay ahead of the market while on the go. To access NetExchange Client Mobile: You can download the NetExchange Client Mobile application directly to your iad or ihone by searching for NetExchange Client Mobile in the App Store from your device. Scan this code with your ihone or iad to download the app from the App Store 18 NETEXCHANGE CLIENT

19 Flexible Technology ershing s powerful client access solution, NetExchange Client, provides your clients with convenience and flexibility when accessing their investment accounts ershing LLC. ershing LLC, member FINRA, NYSE, SIC, is a subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners. For professional use only. Not for distribution to the public NETEXCHANGE CLIENT 19

20 Visit pershing.com to learn more about ershing s flexible technology and watch your business grow. About Us ershing LLC (member FINRA, NYSE, SIC) is a leading global provider of financial business solutions to more than 1,500 institutional and retail financial organizations and independent registered investment advisors who collectively represent approximately 5.5 million active investors. Financial organizations, investment professionals and independent registered investment advisors depend on ershing s depth of experience and consultative approach to provide them with forwardthinking solutions that help them grow their businesses. Located in 23 offices worldwide, ershing and its affiliates are committed to delivering dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, practice management support and service excellence. ershing is a member of every major U.S. securities exchange and its international affiliates are members of the Deutsche Börse, the Irish Stock Exchange, the London Stock Exchange and the Australian Stock Exchange. ershing LLC is a BNY Mellon company. Additional information is available at pershing.com. SB-ER-NXC-1-13