Concordius Capital Holdings, Inc. Registered Investment Advisor Acquisition Program

Transcription

1 Concordius Capital Holdings, Inc. Registered Investment Advisor Acquisition Program

2 Concordius Capital Holdings, Inc. (CCH) is a Florida corporation founded by professionals with over 50 years of collective experience in operations, management, compliance, M&A, banking and advisory services. CCH is an RIA acquisition and aggregation company located in St. Petersburg, Florida that provides exit strategy solutions and transition structures for independent RIAs or breakaway brokers located throughout the United States. CCH customizes each deal structure and proposal to meet the owner s short-term and longterm goals. The company is self-funded, conducts its own in house valuation and due diligence, and issues its own Term Sheets to prospective acquisitions. CCH participates as a principal in a transaction. The principals of CCH have the ability to invest directly, conduct their own in-house due diligence, prepare valuations and issue their own Term Sheets to prospective acquisitions. Introduction

3 If you are an owner of an RIA located anywhere in the USA and you are in search of an exit strategy, back office/compliance support or expansion opportunity, we can assist you. Our team is uniquely experienced and qualified to work with you and your team to accomplish your goals. We are not business brokers We are a principal/owner Custom Research Service CCH/CCA* Business Broker FINRA and SEC Licensed Yes No State Licensed Yes Unknown M&A Experience Yes Unknown Conducts Due Diligence Yes No Valuation Service Yes Unknown Licensed Investment Banker Yes No Principal/Owner Yes No Collets Fee for Service Yes Yes * CCA is Concordius Capital Advisors, LLC a registered investment advisor wholly owned by CCH Our Qualifications

4 Succession Planning RIA Investment Banking State Registered RIA Business Transition Concordius Capital Holdings Selling Your Business Acquisition Strategy Vista Mar Partners Cash Flow Analysis Marketing Concordius Capital Advisors Active Portfolio Management RIA Business Expansion Valuation In-House Research Custodians End-to-End Solution

5 CCH has the ability to invest directly, conduct due diligence in-house, prepare valuations and issue customized Term Sheets. CCH has the ability to assist with the following: Selling Your Business Succession Planning Business Transitioning Expanding Your RIA Business Business Opportunities

6 Concordius utilizes an investment banking approach to help the principals of RIAs monetize an asset that is generally perceived by potential buyers as having little or no value. Our goal is to realize value through deal structure. Our program will provide RIAs in this tier a rather unique opportunity to monetize their practice while providing the following benefits to help increase productivity and client services: Complete technical support Redtail CRM Compliance support hosting by Global Relay Back office support Updated ADV Operational experience Compliance and policy manual Exit strategy and Succession Planning E&O and D&O insurance Cash flow analysis Black Diamond Performance Reporting Proven platform Experienced management team emoney Financial Planning and Client Dashboard Key Benefits

7 CCH is pleased to announce a unique national program focused on providing registered investment advisor practices (RIA s) a financially sound option to monetize their practices. CCH is launching a new program to accommodate small and medium sized RIA practices where: There are few if any reasonable offers for RIAs in this underserved market Custodians are encouraging this tier of RIAs to merge with or sell to a larger RIA Managing an RIA of this size requires continual upgrading of back office support, technology solutions and compliance oversight The principals of these firms are seeking to ensure they are fulfilling their fiduciary responsibility to their clients by establishing a succession plan that will also satisfy their personal retirement objectives Concerns exist regarding how an RIA would service clients in the event of a disruptive event involving the principal The principal wants to structure a succession plan with terms ranging from immediate to one occurring over 5 years Our National Program

8 Discuss your immediate or long-term goals with the principals of CCH Gather material information about your practice to help determine the best course of action to meet your goals Develop a plan of action If principal desires to be ACQUIRED within 3 to 6 months, the company will issue a Term Sheet meeting the principal s goals within 5 days of receiving all material information requested, subject to final Due Diligence. Due Diligence and closing generally takes approximately 7-10 days from execution of the Term Sheet. Time line to complete an immediate transaction is generally days. If principal desires BACK OFFICE SUPPORT, the company will issue a LOI within 2-3 days of obtaining the information from the principal outlining back office support needs. The company can generally deploy these services within 5-7 days of execution of the LOI. Time line to complete the transaction is generally 7 10 days. If principal desires to EXPAND and PURCHASE other RIA s. The company can generally provide potential targeted acquisitions with days through the companies exclusive relationship with Vista Mar Partners, who are FINRA licensed Investment Bankers. If principal desires packaging or valuation of their practice, the principal may engage a 3 rd part licensed Investment Banker at their expense, or utilize the company s exclusive relationship Vista Mar Partners who are FINRA licensed Investment Bankers at the CCH corporate discount to provide these services. Please note that the principals of Vista Mar Partners are affiliates of CCH. The Next Steps

9 Concordius Capital Holdings, Inc. Keith Krueger Chairman & CEO Corporate Office 9500 Koger Blvd. Suite 111 St. Petersburg, Florida Mailing Address 1201 Gandy Blvd. N. #22781 St. Petersburg, Florida Main Number (813) Fax Number (727) Concordius Capital Advisors, LLC Keith Krueger Managing Member (813) Corporate Office 9500 Koger Blvd. Suite 111 St. Petersburg, Florida Mailing Address 1201 Gandy Blvd. N. #22781 St. Petersburg, Florida Main Number (813) Fax Number (727) Vista Mar Partners Keith Krueger Managing Partner 1201 Gandy Blvd. N. #22781 St. Petersburg, FL Main Number (813) Mobile (501) Contact Information

10 Concordius Capital Advisors, LLC Disclosure Statement This document is a publication of Concordius Capital Advisors, LLC. Information presented is believed to be factual and up-todate, but we do not guarantee its accuracy and it should not be regarded as a complete analysis of the subjects discussed. All expressions of opinion reflect the judgment of the authors as of the date of publication and are subject to change. Information in this document does not involve the rendering of personalized investment advice, but is limited to the dissemination of general information on products and services. A professional adviser should be consulted before implementing any of the strategies presented. None of the content should be viewed as an offer to buy or sell, or a solicitation of any offer to buy or sell the securities mentioned herein. Concordius Capital Advisors, LLC, is registered as an investment advisor with the State of Florida and such other states where required by law. The firm only transacts business in states where it is properly registered, or is excluded or exempted from registration requirements. Registration does not constitute an endorsement of the firm by any state nor does it indicate that the adviser has attained a particular level of skill or ability. Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment or strategy will be profitable or equal to past performance levels. All investment strategies have the potential for profit or loss. Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment or strategy will be suitable or profitable for an investor s portfolio. There are no assurances that a portfolio will match or outperform any particular benchmark. Disclosure

11 Keith Krueger & Clifford Wildes, Registered Representatives, securities are offered through Tobin Securities, an independent Registered Broker/Dealer, member FINRA/SIPC. Tobin Securities is not affiliated with Vista Mar Partners. IMPORTANT CONSUMER INFORMATION: A broker-dealer, investment advisor, BD agent, or IA representative may only transact business in a State if first registered, or is excluded or exempt from state broker-dealer, investment advisor, BD agent or IA representative registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirement, or an applicable ex-emption or exclusion. For information concerning the licensing status or disciplinary history of broker-dealer, investment advisor, BD agent, or IA rep, a consumer should con-tact his or her state securities law administrator or FINRA. Disclosure