Marketing and Compliance, It’s Never Been Easier! Emerald Connect and RegEd ENTERPRISE

StoneRiver Risk and Compliance Founded in 1994 by former regulators. 225 employees including attorneys, technology professionals and former regulators World class service operation headquartered in Raleigh, NC with a satellite office in NJ. Compliance solutions industry leader with three main product suites: Compliance Management Licensing & Registration Compliance Education In 1986 launched as Emerald Publications; the creator of marketing products and services exclusively for financial advisors. 125 employees including staff writers, graphic artists, media designers, compliance principals, application developers and advisor coaching experts Acquired 50 Below professional services division in December 2012 State-of-the- art operation headquartered in San Diego, CA with secondary office in Duluth, MN Acquired 50 Below professional services division in December 2012

Emerald Connect & RedEd offer: Prospecting Solutions Retention Solutions Branding Solutions Archiving Social Surveillance Enterprise Registration & Licensing Compliance Education Program

Our 800+ Clients Include the Top Financial Service Firms

Advisor Websites Responds to mobile smart phones and devices Allows for full navigation Concept library-provide imagery that conveys FRs geographical location, or business concept Share features for social networking

Video Concepts 12 concepts Mobile friendly Financial concepts in a fun engaging way Call to action Digital Video Brochure Provide Advisors the ability to personalize a video through a list of pre-approved assets Multiple templates to choose from that allows a Company to control their brand Video can be embed on their website to a "view my video" link which opens a light box Can distribute the video to Social Networks and Video Sites Video & Digital Brochures

Local Business Listing Prospects search for local businesses using keywords related to the business (e.g., “Financial Advisor in San Diego”). Prospects see advisors business listing with contact information on the first page of the search engine results. Prospects can contact advisor or visit their website. Website Enhancement Services Search Engine Marketing Sponsored Ad Placement Clients, prospects, friends, and family can find your website by typing your name in Google, Yahoo!, and Bing. Prospects click on the sponsored link on the first page of the search engine results. Prospects are sent directly to the advisors website to learn about their practice and initiate contact.

Website Enhancement Services Custom Website Designs

Emerald Web Analytics

Web Archiving Initiate on-demand retrieval of archived copies of the site Provide for a view of an individual Advisor Website at any point that a change to the site occurs. The application will accumulate the list of changed websites each day and provide that to the Archiving system for capture. The system will then create a navigable copy of each changed site for posterity and.

Drip Marketing Stay in touch monthly Personalized Deliveries Remain “Top of Mind” Targeted Content Customizable Campaigns For Broker/Dealer use only AutoMark

Social Media Content All content is pre-approved by compliance (through our compliance manager) Provides complete compliance oversight of content and the social media outlets that are approved (Facebook, LinkedIn and/or Twitter) Allows Agents to select and post content to their approved social media outlets Drives traffic back to the advisor’s website

Social Media Archiving and Surveillance Powered by Arkovi RegEd’s Compliance and Risk Management Solution

RegEd 17+ Years of Industry Experience 800+ Clients 80 of the Top 100 Financial Firms 1,000,000+ End Users Social Media Archiving and Surveillance 3+ Years of Research & Development Designed for the Financial Services Industry Powered by Arkovi, Best Back-Office Technology Award from Morningstar RegEd Acquired Arkovi on October 2, 2012 Company & Solution Overview

Unparalleled Access and Social Media Platform Support Access from all browsers and all devices with no hardware/software to install Support for ALL major social media networks, including: Robust Social Media Content Library Library to easy upload pre-approved content; advisors publish in 2-clicks Content available from SocialSpeaks by Emerald Connect Powerful Reporting and Analytics Support for multiple lexicon and key word sets for Compliance and Marketing Advanced Compliance Review Integration with RegEd’s Advertising Review to centralize compliance efforts and data Approved content is automatically published to social media account Broad Support for Related Compliance Activities Educational Training, Firm Policy Creation, Attestation Services Key Features

Powered by RegEd Vision – Centralize Communications Compliance

17 Create a Compliant Social Media Presence Access library of pre-approved social media content; post directly to various social media accounts in two, easy clicks Authorize social media accounts in less than 10 minutes Access to end users training guides and videos Central Access for all Compliance-Related Activities Training – Best Practices, Rules & Regulations, and more… Review and Attest to Firm’s Social Media Policy Seamlessly Sign-Up for Social Media Monitoring Easy Payments Support Full Advisor Payments or Co-Payments with Firm Advisor Features

Get Social Enable Your Firm’s Social Media Strategy Always-on Archiving, Customized Training & Pre-Approved Content Stay Compliant Centralize Compliance Moderation and Review All-encompassing Dashboard with Lexicon and Reporting features Get Involved Social Media Client Advisory Board (CAB) Influence the Future of the Product and Provide Feedback Compliance Features

19 Unlock the Power of Your Archive Control Your Firm’s Message Monitor Your Firm’s Brand Measure Your Firm’s Presence with Reporting and Analytics Join RegEd’s Social Media Client Advisory Board (CAB) Marketing Features

20 Data Encryption SSL 128-bit for all transmitted data AES 256-bit for sensitive data at rest Secure Applications Independent application vulnerability testing PCI certified Multi-tiered firewalled architecture ISO information securities processes Secure, High Availability Data Centers Tier IV facilities with “Five 9’s” availability SAS 70 Type II certified Geographically Dispersed DR Solution Technology Features