Redefining the Investment Relationship

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Mark Cook
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2 Redefining the Investment Relationship W e c r e at e d I b i s C a p i ta l w i t h c o n v i c t i o n f o r u p h o l d i n g a f i r m i n pa rt n e r s h i p w i t h o u r c l i e n t s, s ta n d i n g a s a b e a c o n i n o u r i n d u s t ry and challenging the status quo. Ibis is a private firm designed to select optimal investments unbiased by a single proprietary platform o r b y c o m p e n s at i o n. I b i s w i l l a l s o r e a c h b e y o n d p r o p r i e ta r y r e s o u r c e s t o u t i l i z e b e s t i n c l a s s s e rv i c e s f o r p e r f o r m a n c e r e p o r t i n g, t r a d i n g a n d r e t i r e m e n t s o f t wa r e. T h i s c u t t i n g e d g e structure provides us the greatest opportunity to create and clearly illustrate results for our clients. At Ibis, we have created a home where w e c a n t r u ly b e a l i g n e d w i t h o u r n u m b e r o n e p r i o r i t y our c l i e n t s. The Ibis bird is considered sacred, CAPITAL and other birds look to it for leadership. It uses its instinct to detect danger, giving warning that danger is imminent as a storm approaches. As the storm passes, the Ibis is the first to reappear, a sign clear skies are approaching.

Ibis is a private firm designed to select optimal investments unbiased by a single proprietary platform o r b y c o m p e n s at i o n.

3 Who are the team members at Ibis Capital? Founding Partners, Neal McNeil, Robert Meyer and Ryan Clive-Smith have worked together, combining their fields of expertise, for more than a decade. By keeping 100% ownership of Ibis Capital (Ibis) in the hands of these Founding Partners, the bureaucratic decision making process evident in large organizations is eliminated and the focus kept on the client experience. We have maintained our team of operational and administrative professionals and as our team grows, our goal will remain unchanged to continue to set an unprecedented standard of service for the financial services industry.

By keeping 100% ownership of Ibis Capital (Ibis) in the hands of these Founding Partners, the bureaucratic decision making process evident in large

4 How is Ibis Capital Structured? Recognizing many investments can only be accessed through a Registered Investment Advisor (RIA) or a broker-dealer, we felt it was important to create a structure that would provide Ibis the flexibility to deliver superior solutions to our clients. Ibis is a Hybrid RIA, an innovative and advanced structure within the financial services industry. By combining an RIA with the services offered by a broker-dealer, we are able to better serve our clients with greater breadth and depth of investment choices.

important to create a structure that would provide Ibis the flexibility to deliver superior solutions to our clients.

5 Where will my assets be held and how safe will they be? After researching and negotiating with industry leaders such as Charles Schwab Institutional and TD Ameritrade Institutional, we selected Fidelity Institutional and LPL Financial as our investment platform. With more than $500 billion in client assets, Fidelity Institutional offers a safe, technologically robust platform that meets the needs of our clients, partners and staff. We also maintain a relationship with LPL Financial, the largest independent broker-dealer in the United States,* with corporate headquarters in San Diego, CA, Charlotte, NC and Boston, MA. Neither Fidelity Institutional nor LPL Financial offer proprietary products nor investment banking services, which ensures a conflict-free environment. Through these institutions, our clients have access to the same services they are accustomed to receiving at any major financial firm (e.g. auto deposit, bill pay, checking and credit card services with reward points). Our staff will educate clients on how to implement the services they desire and provide ongoing support to ensure a seamless transition. In addition to the strong balance sheets and reputations of Fidelity and LPL Financial, both firms incorporate Securities Investor Protection Corporation (SIPC), Federal Deposit Insurance Corporation (FDIC), and other insurance specifically for the protection of client assets. * As reported by Financial Planning magazine, June , based on total revenue.

platform. With more than $500 billion in client assets, Fidelity Institutional offers a safe, technologically robust platform that meets the needs of our clients, partners and staff.

6 Has your investment philosophy changed? No. Our investment philosophy remains unchanged: to strive for absolute return. This means that in any global environment, under any economic conditions, our ultimate goal is to identify opportunities to grow our clients assets. The exciting news is our ability to implement our investment philosophy is improved with the establishment of Ibis. As a privately held firm, we can draw upon a much broader scope of tools, some which were previously unavailable, to ensure our clients have access to more investments and a consistent, transparent experience.

The exciting news is our ability to implement our investment philosophy is improved with the establishment of Ibis.

7 How did creating Ibis Capital improve the client experience? Improved access to Investment Solutions At Ibis, our clients have access to additional investment opportunities which were previously not available to us when we were bound by a single firm s recommendations or platforms. We have experienced first hand that advisors at major brokerage firms are limited to the investments of their firms platforms. In today s rapidly changing business environment, it is vital that advisors and clients possess the flexibility to quickly implement solutions without being hindered by the bureaucracy of a large organization. Improved Research and Analysis We are not beholden to one firm s research. Our team has the ability to choose from among the best research from independent and Wall Street firms. In our new environment, we have the flexibility to align ourselves with institutions that specialize in offering due diligence services on virtually any investment. Improved Reporting Our independence also affords us the freedom to search out superior analytical capabilities and employ best in class tools from companies that have proven experience in our industry. For example, we selected a performance reporting solution for Ibis that is considered the leading application in the financial services industry. This application will greatly improve the clarity of how we report investment results to our clients and has the ability to aggregate outside accounts and look at clients performance collectively. We also have access to market leading providers in retirement software analytics, which are much more comprehensive and functional than traditional programs. Uncompromised Fiduciary Role A fiduciary duty is the highest standard of care highlighted by good faith, loyalty and trust. It requires the fiduciary to put the interests of the client ahead of their own. With our structure as a Hybrid RIA, we are required to assume the role of a fiduciary. We are very pleased to be bound to the fiduciary standard.

recommendations or platforms. We have experienced first hand that advisors at major brokerage firms are limited to the investments of their firms platforms.

8 I b i s i s t h e r e s u lt o f f u l f i l l i n g t h e pa r t n e r s h i p w e s h a r e w i t h o u r c l i e n t s. T o t h at e n d, w e v o w to a lway s p r o v i d e o b j e c t i v e a d v i c e, c o m p l e t e t r a n s pa r e n c y a n d a u n i q u e i n v e s t m e n t e x p e r i e n c e t o o u r c l i e n t s. O u r n e w v e n t u r e r e p r e s e n t s a d e e p ly p e r s o n a l o p p o rt u n i t y f o r u s to s h a p e o u r o w n c u lt u r e a n d to e s ta b l i s h a h i g h e r s ta n d a r d o f s e rv i c e a n d p e r f o r m a n c e w i t h i n t h e f i n a n c i a l s e rv i c e s i n d u s t ry. O u r a s p i r at i o n i s t o e s ta b l i s h l o n g-lasting personal relat i o n s h i p s that spa n generat i o n s and we great ly va l u e the opport u n i t y t o serv e your fa m i ly. Neal McNeil III Robert L. Meyer Ryan Clive-Smith

9 Redefining the Investment Relationship El Camino Real, Suite 300 San Diego, CA Toll Free IBIS (4247) fax The Financial Advisors of Ibis Capital are registered representatives with, and securities are offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and a separate entity from LPL Financial.

com The Financial Advisors of Ibis Capital are registered representatives with, and securities are offered

ABOUT LPL FINANCIAL. serving. financial advisors. and their clients

ABOUT LPL FINANCIAL. serving. financial advisors. and their clients ABOUT LPL FINANCIAL serving financial advisors and their clients the need for objective advice has never been greater Amid an ever-changing investment landscape, investors need an expert and experienced