SEI Advisor Network Wealth and Advisor Services Providing flexible services that help you save time, build long-term relationships and increase profitability. seic.com/advisors
Advisor Network Suite of Solutions SEI provides a total outsourced, end-to-end solution that helps advisors save time, increase revenues and differentiate themselves in the market. We offer a fee-simple approach to investment solutions with no program fees, no platform fees* and no account minimums. INVESTMENT AND WEALTH PROGRAMS INVESTMENT PHILOSOPHY Scientific, disciplined and timetested approach Supports Accumulation, Stability and Income goals Multiple specialist managers with dynamic asset allocation Ongoing oversight Goals-Based Strategies INVESTMENT OPTIONS Mutual Fund Portfolios Separately Managed Accounts ETF Strategies Distribution-Focused Strategies Tax-Managed Portfolios Taxable Bond Ladders Municipal Bond Ladders Treasury Inflation-Protected Securities (TIPS) Bond Desk WEALTH PROGRAMS Banking -FDIC-insured CD program -Debit card -Online bill pay -Checking -Securities-backed lines of credit Insurance Premium Payment Program (IP3) Agent or directed trustee in 50 states PRACTICE MANAGEMENT PROGRAM BUSINESS TRANSITION Dedicated project management team Client segmentation Project planning Completion of IPS and proposals Completion of all account opening paperwork Assist in end-client meetings Advisor Acquisition & Succession Program CASE MANAGEMENT Investment advice, planning and presentation support Experienced team of CFAs, CFPs and CPAs Customized performance analytics Ongoing proposal and IPS support Online proposal tool Customized tax analysis MARKETING AND GROWTH PROGRAMS Customizable marketing materials Investor-approved seminars Research papers and commentaries Quarterly investment reviews Coaching and growth programs Monthly What s New @ SEI Newsletter Market positioning and branding CE-accredited webinars and workshops ADMINISTRATION AND TECHNOLOGY ADMINISTRATION, ACCOUNTING AND REPORTING Custody Trade processing Systematic withdrawals Tax management Tax reporting *as of 6/30/2015 Advisor fee system Portfolio rebalancing Goals-based client statements Advisor performance reporting TECHNOLOGY Advisor website Downloading capabilities -Albridge TM -Portfolio Center -Advent -Others Online performance reporting Investor website Mobile apps
OVERVIEW The SEI Advisor Network enables nearly 6,100 advisors to get back to the aspects of their business they most enjoy. We offer comprehensive outsourcing services, including turnkey investment and wealth management, leading-edge administration support and technology, and extensive practice management solutions. A MARKET LEADER SEI manages or administers $661 billion in mutual funds and pooled or separately managed assets, including $262 billion in assets under management and $399 billion in client assets under administration (As of June 30, 2015). WEBSITE seic.com/advisors ACCOUNT MINIMUM No minimum account size for Mutual Fund Portfolios ASSET MANAGEMENT FEES No platform or program fees* CUSTODY FEES No custody fees for accounts over $50,000. A custody fee of $60 annually will be applied to accounts under $50,000. REBALANCING Quarterly INVESTMENT PHILOSOPHY SEI s investment philosophy is a scientific, disciplined and proven approach based on six principles: asset allocation, portfolio design, investment manager selection, portfolio construction and management, risk management, and tax management when appropriate. GOALS-BASED INVESTMENT OFFERINGS Our goals-based investment process helps investors identify goals and set priorities based on their investing time frame and personal circumstances. It s a holistic approach that helps investors pursue their goals and grow confidence, even in stormy market conditions. We provide solutions for a multitude of investor circumstances accumulation, stability and income with strategies and programs that leverage the return potential of nearly all asset classes and investment styles. Multiple models can be used in one account if clients have multiple goals. INVESTMENT STRATEGIES Strategies include Tax-Managed and Non Tax-Managed Private Client Strategies, Separately Managed Accounts, Tactical and Tax-Managed ETF Strategies and Distribution- Focused Strategies. All strategies are implemented using institutional, best-in-class, specialist money managers. SEI provides ongoing oversight and dynamic asset allocation. BANKING SOLUTIONS SEI provides a range of banking services, including checking, debit card, securities-backed lines of credit, online bill pay 1 and FDIC-insured CD options. 2 1 Through Bancorp Bank. 2 Through SEI s Bond Desk. TRUST SOLUTIONS SEI Private Trust Company (SPTC) can act as agent for a trustee or as a directed trustee, and can assist with many of the administrative responsibilities of the trust. TYPES OF ACCOUNTS SEI can provide investment management and reporting for several account types, including, but not limited to, IRAs, Roth IRAs, SEP IRAs, Simple IRAs, giving funds, individual and joint nonqualified accounts, trusts, estates, endowments, foundations, defined benefit plans, and defined contribution plans. *as of 6/30/2015
WHERE SEI CAN HELP Investor Scenarios SCENARIO SEI PROGRAM OFFERING Investors with a concentrated position in stocks Separately Managed Accounts Investors with a poorly diversified portfolio All Strategies Investors in a high tax bracket Investors who are looking for principal preservation Investors looking for income distribution Separately Managed Accounts, Tax-Managed Mutual Fund Strategies, Tax-Managed ETF Strategies and Tax-Exempt Fixed Income Bond solutions (Laddered), Treasury Inflation- Protected Securities (TIPS) and Stability- Focused Strategies Distribution-Focused Strategies,* SEI Fixed Income Portfolio Management and SEI Retirement Income Strategies Investors concerned about market volatility Stability-Focused Strategies Investors concerned about inflation TIPS through SEI s Bond Desk Investors looking for a total wealth solution Investments, banking services, trust services and institutional plans The vehicles listed under SEI Program Offering do not constitute an investment recommendation, are intended to show the breadth of SEI s capabilities and are presented as investment options for your consideration only. Investors should consult with a financial advisor to determine the appropriate investment vehicle(s), considering, among other things, investment goals, risk tolerance and time horizon. Advisor Scenarios Advisors looking to grow assets under management Advisors who are at capacity need to delegate business functions Advisors looking to transition to a fee-based business Advisors already doing some fee-based business and are: - Self-managing (do-it-yourself) and looking to outsource asset management and back office - Currently working with another third-party platform - Experiencing growing pains or exit strategy concerns - Looking to differentiate themselves from the competition - Looking to provide clients with access to institutional money managers at institutional costs All services pending your Broker-Dealer s approval. *administrative fees are assessed on the DFS strategies.
ADMINISTRATIVE SOLUTIONS SEI Private Trust Company (SPTC) is a limited-purpose savings association and a wholly owned subsidiary of SEI Investments Company. It is the custodian of all assets and provides advisors and their clients with one-stop accountability. SPTC handles end-to-end account functions, including trade processing, systematic withdrawals, tax reporting, advisor fee deductions, portfolio rebalancing, statements, and reporting. TECHNOLOGY SOLUTIONS Our secure, easy-to-navigate advisor website makes it easy to evaluate how well your firm or a specific client is doing. You also have online access to our proposal tool, transaction and form wizards, investment policy statements and performance, as well as mobile apps to quickly access account information. Plus, it s easy to share data between SEI and many of the industry s client data management tools. BUSINESS TRANSITION TEAM Our Business Transition team is a unique and comprehensive resource that provides support to financial advisors as they begin their relationship with SEI. Our specialty is to assist advisors in conversions by prefilling the required forms and applications; creating and preparing advisor-directed proposals and investment policy statements; helping map existing client portfolios to SEI models; transition assets in-kind to SPTC; and liquidating assets with no brokerage or transaction fees, pending broker-dealer approval. INVESTMENT SUPPORT The SEI Investment Services Team (IST) is a comprehensive investment resource whose mission is to assist advisors in winning new business by identifying holes and weaknesses in investment portfolios and providing a broad suite of advice-driven asset management solutions to advisors. The team consists of individuals with highly diverse backgrounds and specialized expertise in investment portfolio analysis and design, tax and financial planning, and presentation abilities. The IST is part of SEI s core philosophy of outsourcing noncore competencies. ONLINE PROPOSAL SYSTEM The SEI Proposal System provides financial professionals with the ability to generate investment proposals and IPS quickly and easily allowing them to shorten their sales cycle. The system is available at no cost to financial professionals and it can be accessed directly through our advisor website. PRACTICE MANAGEMENT PROGRAMS SEI s Practice Management solutions help financial advisors work smarter so that they can get to their next level of growth. We provide consulting, marketing and communication services, planning tools, and current market research to help you improve client relationships, plan your business better and develop more effective growth programs. SEI can provide various marketing tools, including customized marketing materials, investorapproved seminars, research papers and commentaries, quarterly investment review presentations, advisor growth programs, as well as market positioning and branding tools.
This material is not intended to be a forecast of future events, or a guarantee of future results. This information should not be relied upon by the reader as research or investment advice. This information is for educational purposes only. There are risks involved with investing, including loss of principal. Diversification may not protect against market risk. There is no assurance the goals of the strategies discussed will be met. Custody services provided by SEI Private Trust Company (SPTC), a federally chartered limited purpose savings association and wholly owned subsidiary of SEI Investments Company. For more information, please contact an SEI Practice Consultant at 888-734-2679 or visit seic.com/advisors Time and Life Building 1 Bruton Street, 4th Floor London W1J6TL +44 (0) 207 518 8950 web address Neither SEI nor its affiliates provide tax advice. Please note that (i) any discussion of U.S. tax matters contained in this communication cannot be used by you for the purpose of avoiding tax penalties; (ii) this communication was written to support the promotion or marketing of the matters addressed herein: and (iii) you should seek advice based on your particular circumstances from an independent tax advisor. Certain services provided by The Bancorp Bank, a state-chartered bank, which is unaffiliated with SEI Investments Company. Deposit accounts are maintained by The Bancorp Bank. They are FDIC insured up to $250,000. Other accounts that you have at The Bancorp Bank may impact your coverage. Visit www.fdic.gov for coverage details. Banking services provided by The Bancorp Bank. Member FDIC. Equal Housing Lender. 409 Silverside Road, Suite 105, Wilmington, DE 19809. Information provided by SEI Investments Management Corporation, a wholly owned subsidiary of SEI Investments Company. Neither SEI nor its subsidiaries is affiliated with your financial advisor. 2014-2015 SEI 1515679 HNW-M-242 (08/15)