Soltis Investment Advisors 9 th Annual Wealth Management Conference

Transcription

1 Soltis Investment Advisors 9 th Annual Wealth Management Conference September 25, 2015 Soltis Investment Advisors is proud to be among the first investment advisors globally to successfully complete the independent certification process of CEFEX, Centre for Fiduciary Excellence. CEFEX certification independently analyzes the trustworthiness and best practice processes of investment fiduciaries. Clark V. Taylor Partner, VP Wealth Management Services 1

2 Courtyard Marriott WIFI Information Courtyard Network WIFI: Username: SEP15 Passcode:

3 9th Annual Conference Info: 3

4 TEAMWORK: Working in Unison 9 th Annual Client Appreciation and Wealth Management Conference September 24-25, 2015

5 Conference Sponsors GOLD SILVER BRONZE 9 th Annual Client Appreciation and Wealth Management Conference

6 Conference Speakers Dave Rose BYU Men's Basketball Head Coach Hyrum W. Smith Former CEO, Co-Founder Franklin Covey Soltis Board Member Hal G. Anderson President, CEO Soltis Investment Advisors William R. French Vice President, Fidelity Investments Teresa Kong, CFA Portfolio Manager, Matthews Asia Rodney C. Zeeb Co-Founder & CEO, The Heritage Institute 9 th Annual Client Appreciation and Wealth Management Conference

7 Conference Breakout Speakers 2016 Tax Strategies Charitable Giving Estate Planning Paul Gibbons, CPA Tax Partner Matthew F. Hafen Associate Stephen P. Radmall, CPA Tax Partner Mark Ricketson Vice President & Consultant Mark J. Morrise Associate 9 th Annual Client Appreciation and Wealth Management Conference

8 Soltis Wealth Management Services 8

9 Summary of Soltis Wealth Management Services Goal Setting Retirement Planning College Funding Business Planning Annual Wealth Management Conference Income Tax Collaboration & Coordination Access to suite of Private Banking Services Financial Planning Investment Planning Personal Risk Assessment and Investment Policy Statement Asset Allocation and Manager Selection Monitoring and Rebalancing Wealth Preservation Portfolios and Non- Traditional Asset Classes Tax Optimization Insurance Analysis Stock Options Exercise Strategy Managing Concentrated Positions Asset Protection Risk Management Estate Planning Optimizing Family & Charitable Gifts Corporate Trust Services Multi Generational Legacy Planning IRA and Retirement Plan Distributions Retirement Plan Design 9

10 Representative Soltis Service Team Sharon Peck Client Relationship Manager TJ Adams Analyst The Client Relationship Managers are focused on assisting the Senior Advisors with the overall relationship management of the client. As the primary contacts for day-to-day service and operational needs, the main goal of the Client Relationship Manager is to deliver exceptional client service and be available to assist with any aspect of the clients accounts, or put them in contact with the appropriate resources at Soltis. On a regular basis the Client Service Manager is available to assist service items that ensure each client receives a high level of service with the firm. The Soltis Analyst also plays an important role at the firm. Under the direction of the Senior Advisor, the analysts assist with preparing client reviews, financial plans, and conducting additional research as requested. The Analyst is available as an additional resource for assisting clients with anything they might need. Tyler Finlinson, CIMA Senior Advisor Clark V. Taylor Partner, VP Wealth Management Services The Senior Advisors are focused on overseeing each client relationship from the initial implementation of the client service plan throughout their experience at Soltis. As the lead advisor, the Senior Advisor conducts ongoing portfolio reviews where the clients not only review their account performance, but also define their goals and ensure their progress in tracking toward these goals. The Senior Advisors ensure that each client receives a high level of service and has an overall positive experience with the firm. Responsible for the overall Wealth Management Division and the services provided to the client. The divisional Vice Presidents work closely with the Senior Advisors to ensure exceptional proactive client service. Also works closely with the firm s Board of Managers to form strategic initiatives for the firm and ensure Compliance with SEC and other Fiduciary Compliance requirements. Hal G. Anderson President, CEO, CIO Chairman of the Investment Committee responsible for the investment manager research, asset allocation studies, portfolio monitoring and performance measurement, and investment themes for the management of the portfolios. Responsible for the due diligence of investment options and monitors and evaluates mutual funds, separate accounts managers and alternative investments for use in current and prospective clients. As CEO, is responsible for the oversight of all the services provided by Soltis to include the Retirement Plan Division and Wealth Management Division. 10

11 Soltis Wealth Management Services Integrated Wealth Management: Independent Advice - Objective counsel across disciplines Execution - Management for individuals seeking advice Financial, estate, and legacy planning Collaboration with attorney for Estate plan creation, trust management, and philanthropic giving Fee-only pricing Motivated to grow assets Access to specialists Internal resources and/or external relationships Hedging strategies and concentrated position management, including stock options Client Soltis Cash flow planning and risk management Fiduciary responsibility - Regulatory obligation to investors Institutional Consulting Platform Access to top industry consulting services Portfolio management, including asset allocation and manager selection Collaboration with accountant for tax strategies and preparation 11

12 Soltis Financial Planning Process Discovery Identification of Facts and Goals Priorities, needs, values, expectations Time horizon, risk level, etc. Evaluation of Current Financial Status Emergency reserves, cash flow, retirement needs, education Company benefits, insurance coverage, estate strategies Financial Planning Recommendations Review recommendations and/or alternatives Confirm financial strategies Implementation of Financial Plan Collaboration with other professionals to properly implement the plan Implementation of Goals and Priorities Communicate Family Planning and Guidance Monitor and Ongoing Review Progress reports, updates to plan Changing laws and regulations 12

13 Introduction of New Tool: emoney 13

14 Founded in 2000, acquired by Fidelity Investments in Feb employees with offices in PA and CA $1.4 Trillion in assets on the platform from around the world Used by over 25,000 financial professionals

15 Client Personal Financial Website Account Aggregator 15 15

16 Personal Financial Website Account Aggregator 16 16

17 Pursuing Most Important Endeavors Net Worth Analysis Decision Center 17 17

18 Soltis Investment Advisors 20 N. Main Suite 400 St. George, UT S. Main Suite 1776 Salt Lake City, UT SoltisAdvisors.com (800) (435)