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Tony Bacarella, CWS®, CFS®

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Presentation on theme: "Tony Bacarella, CWS®, CFS®"— Presentation transcript:

1 Tony Bacarella, CWS®, CFS®
Executive Management Director, Case Planning P R A C T I C E M A N A G E M E N T C O N F E R E N C E

2 Major Events of the past 30 Years
1983 Sigma Financial Launched 1984 Assassination of Indira Gandhi 1985 Mexico City Earthquake 1986 Challenger Explosion Chernobyl Disaster 1988 Pan Am flight 103 bombing 1989 Fall of the Berlin Wall Tiananmen Square 1990 Golf War I Release of Nelson Mandela 1991 Collapse of Soviet Union 1992 Bosnian War 1994 Rwanda Genocide 1995 O.J. Simpson Trial 1996 Cloning of Dolly the sheep Source 1997 Death of Princess Diana Hong Kong handover 1999 Kosovo War 2000 Millennium, Y2K, Florida Recount 2001 September 11th Terrorist Attach 2003 Gulf War 2004 Asia tsunami 2005 Death of Pope Jon Paul II Hurricane Katrina 2008 Election of Barack Obama, Mumbai Terror Attacks, Financial Crisis 2009 Death of Michael Jackson 2010 Haiti Earthquake 2011 Steve Jobs Passed Away 2012 Reelection of Barack Obama 2013 Sigma Financial 30th Anniversary

3 Top 30 Innovation Past 30 Years
Internet, broadband, WWW (browser and html) PC/laptop computers Mobile phones DNA testing and sequencing/Human genome mapping Magnetic Resonance Imaging (MRI) Microprocessors Fiber optics Office software (spreadsheets, word processors) Non-invasive laser/robotic surgery (laparoscopy) Open source software and services (e.g., Linux, Wikipedia) Light emitting diodes Liquid crystal display (LCD) GPS systems Online shopping / auctions (e.g., eBay) Media file compression (jpeg, mpeg, mp3) Microfinance Photovoltaic Solar Energy Large scale wind turbines Social networking via the Internet Graphic user interface (GUI) Digital photography/videography RFID and applications (e.g., EZ Pass) Genetically modified plants Bio fuels Bar codes and scanners ATMs Stents SRAM flash memory Anti retroviral treatment for AIDS Source: Nightly Business report / Wharton

4 But the Trend Has Not FINRA Member Firms Change Reps 2007 5005 -
672,688 2008 4895 -2.20% 664,975 -1.15% 2009 4720 -3.58% 633,280 -4.77% 2010 4578 -3.01% 630,692 -0.41% 2011 4456 -2.66% 629,518 -0.19% 2012 4289 -3.75% 630,391 0.14% 2013 Aug 4218 -1.66% 633,622 0.05% Net Change -787 -15.72% -39,066 -5.81%

5 Sigma Accolades Sigma Financial Sigma Planning
Registered Rep Magazine BD of the Year 2013 Third year in a row Investment Advisor Magazine “BD of the Year” Runner-up 2013 During the past 22 years - 9 time Winner and 7 time Runner-up Financial Planning Magazine “Largest & Fasted Growing Independent BDs” 2013 Investment News “Top Independent BDs” 2013 Sigma Planning Crain’s “Largest Money Managers” 2013 Investment News “50 Largest Financial Planning Firms” 2013 Surpassed $3 Billion AUM - Combined FIWS and Third Party Platforms

6 Thriving for 30 years!

7 What is Driving the Markets? My Best Tip

8 Case Planning - Expanded
John L. George H. Ringo S.

9 Case Planning Stats – 2013 Through August 24th
Total Case Requests – 3387 On pace to process nearly 5000 cases Total Case Value - $973,329,596 On pace to reach nearly $1.3 Billion Representative Initiated via iPlan – 82.14% Highest percentage since iPlan rollout Average Turnaround Time – 17.8 hours

10 Case Planning – Help Us Help You!
Calls - Answer FA case, product, industry, practice management, general, or any other question. Two heads are better then one. Case Plans – Create investment and financial plans for FAs to use with clients and prospects. Freeing up FAs to spend more of their time focused on productivity. Training – Systems for Success, regional meetings, CE meetings, product training, software training, business planning, brainstorm sessions, and WebEx. Helping to ensure FAs are using a best practices approach in running their office. Due Diligence – Case Planning provides initial and ongoing product due diligence. The department is broken into areas of focus and Case Planner responsible for their focus areas. New Representative Transition – Work with Recruiting and Transition team to explain Sammons’s platform and services to recruits and new FAs to help them hit the ground running.

11 Case Planning Streamlined Portfolio Development Process

12 Sigma Planning Corporation (SPC) Platform Growth
Launched FIWS Platform in 2009 with $0 AUM 0 Accounts August 2013 $2.3 Billion AUM Growing at $100 million per Quarter 20,000 Accounts Growing at over 1000 accounts per Quarter Additionally Third Party Managers / Custodians $850 Million+ AUM

13 SPC RIA Platform - Highlights
Hourly and Fee Planning Representative Managed Sigma Managed Account – FIWS Platform Third Party Money Managers FIWS / Envestnet Managed Account Solution (MAS) Third Party Managers / third-party Custodian

14 Fidelity - Managed Account Solution
Turnkey Platform Manager Research Manager Monitoring Proposal System Fidelity Custodian Performance Reporting Fee Billing WealthCentral

15 FIWS - Managed Account Solution

16 Fidelity WealthCentral Managed Account Solution

17 Fidelity WealthCentral - MAS

18 MAS – Manager Side by Side

19 MAS – Proposal

20 MAS – Proposal

21 MAS – Proposal

22 MAS – Proposal

23 Fidelity WealthCentral

24 Fidelity WealthCentral - Tools


26 Fidelity WealthCentral - Research

27 Fidelity WealthCentral – Fund Screener

28 Fidelity WealthCentral – Insight

29 Fidelity WealthCentral Path to Performance

30 Fidelity WealthCentral Path to Performance

31 WealthCentral – The Future

32 WealthCentral – Consolidate View

33 WealthCentral – Consolidate Trade View

34 Highlights to Keep on Your Radar - FIWS eDelivery - Now Statements, Confirms, Notices, Reports and Tax Documents WealthCentral Online Portfolio Rebalancing – Now WealthCentral / Black Diamond Integration – Now Mobile Check Deposit – Now Enhanced MAR / Envestnet Platform ENV2 - Soon Enhanced Quarterly Reports Sigma Account – Soon Ability to Exclude positions Sigma Account - Soon

35 Highlights to Keep on Your Radar - NFS
Mobile Check Deposit – now myStreetscape eDelivery - now Statements, Confirms, Notices, Reports and Tax Documents Streetscape Enhanced Reporting – now Streetscape Enhanced Tax Lots – soon Streetscape Enhanced Alternate Investment – soon Streetscape Enhanced Annuity Link View – soon

36 2013 SPONSORS / THANK YOU! Advisors Asset Management, Inc. Atel
B of I Advisor Beacon Capital Management Bluerock College for Financial Planning Ebix / Smartoffice Ever Bank Fidelity Institutional Wealth Services Franklin Square Capital Partners Fund Evaluation Group, LLC Hines Securities, Inc. Imeriti Inland Real Estate Investment Corp. Inland Securities Corp.

37 2013 SPONSORS / THANK YOU! ITS Asset Management, L.P. Jackson National
J.P. Morgan Laser App Software Liberty Mutual Lightstone Capital Markets Metlife Midland National Life and Annuity Morningstar Mutual of Omaha National Financial Services Penn Mutual Producers Choice Prudential

38 2013 SPONSORS / THANK YOU! Realty Capital Securities
Sammons Retirement Solutions SC Distributors/Carter Validus Securian SEI Sun America Transparent Value Transamerica Walton International Group (USA), Inc. Weatherstone Capital Management Wholehan Marketing

39 Its Time To Pay Attention!

40 Tony Bacarella, CWS®, CFS®
Executive Management Director, Case Planning P R A C T I C E M A N A G E M E N T C O N F E R E N C E

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