AdvisorComplete℠ Utilizing Practice Management Tools Presented By: John Vanderheyden NFP Advisor Services Group ACR#88689

Enterprise Search Function Search box in Menu Bar Refine search in Search Results page Reps would want to utilize clients and webpages from the filters menu. If they filter by client, the search results will pull up all accounts for a particular client in a simple list format. From there, they can view and edit all client data for all accounts. [Highlight clients and search results.] LISA Perhaps the greatest benefit of the search webpages. By filtering by “webpage” reps can find product information. An example is to do a search for “alternative investments” or “Wells REIT”.

Compensation Report Portal The Compensation Report Portal provides access to detailed compensation information in a variety of ways. Revenue and Compensation can be viewed broadly by product category all the way down to the individual household or client level. This gives the advisor visibility into their compensation data without the need to review individual compensation statements. In addition, they are exportable for reporting and bookkeeping purposes. The advisor can select a variety of time periods, from a specific pay period up to a specific year.

Creating Households Shows available clients that you can drag and drop into households. Also shows that you can click on the household name to activate the naming function.

Using Households Lisa, to clean up screenshots (arrows, outline boxes, shadowing of screenshot) and animate screenshot

Managing Notifications & Alerts Subscribe to Streetscape alerts and notifications Several alerts that advisors may find useful include fixed income redemptions due to maturity, wire receipts, trade execution, TOA deliver (outgoing TOA notification), incoming TOA completion. In addition, advisors can subscribe to 3 monthly reports: Monthly GDC by Client, Monthly GDC by Product Type, and Quarterly Cash Available by Client and Account. These 3 reports are available under My Business/Compensation Reports. The advisor may opt to receive an e-mail notification under Manage Subscriptions when the reports are generated. Include that these will be delivered by email.

Key Business Metrics: Snapshot

Assets and Revenue by Product Type

Net Asset Flows Net Asset Flows provides the advisor with a breakdown of their incoming vs outgoing assets over time. The advisor can drill down on the selected time period to see the details, including incoming and outgoing asset flows by qualified, non-qualified, advisory, and non-advisory assets.

Revenue by Client Age Group Revenue by Client Age Group gives the advisor insight into the primary source of their revenue by the client age group. This demographic picture can assist the advisor with long-term practice management by better understanding where his revenue is coming from.

New Clients & Accounts by Age Group

Business Mix Business Mix breaks down the assets under advisory between qualified, non-qualified, or both, as well as separating advisory and non-advisory.

Client Net Worth

Rep View ANIMATION SLIDE - mimics clicking on each tab. RepView is being redesigned to improve navigation, usability, and access to the most frequently used rep, firm, and branch information by reducing the number of clicks required to access important information. The new design readily displays important information immediately upon accessing the page. Additional information that is currently located in various tabs has been grouped by logical categories so that you can quickly locate the section that you are looking for. Items that require action from a regulatory perspective are located on a separate tab to quickly identify and access those issues that may need your attention.

E-Signature for account establishment and forms Coming Attractions E-Signature for account establishment and forms Speed of processing Convenience to client Cost savings Reduced NIGOs Transparency Security/assurance Performance reporting alternatives Integration of Salesforce DocuSign has 75% market share of the e-signature market; industry leader used by many firms in the financial services space Speed of processing: less time mailing documents to clients and waiting for them to be returned, results in quicker processing of business and getting assets invested sooner Convenience to client: all electronic, can sign documents at their computer, no need to physically sign and find a FedEx or UPS dropbox Cost savings: eliminate overnight fees Reduced NIGOs: the process will easily identify all locations on documents that require a signature or initials; no more NIGOs due to missed signatures Transparency: full access to the status of the signing status of reach required signature, including who has viewed and signed the documents, including the ability to set specific reminders for the client Security: ID check validates that it is actually the client that signs; no need to encrypt e-mails; full audit trail of electronic signature.

ASH Brokerage

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