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For broker/dealer use only. Not for use with the public Client Experience, Investment Management Process, Wealth Management Services graphics
For broker/dealer use only. Not for use with the public. THE CLIENT EXPERIENCE 1 Discovery process Develop comprehensive investment strategy and wealth management plan Investment strategy and wealth management plan meeting Execute investment strategy Begin ongoing execution of wealth management plan Ongoing monitoring of investment strategy and wealth management plan 45-day follow-up meeting Sample 1 We have a clear process to understand your goals and develop appropriate recommendations.
For broker/dealer use only. Not for use with the public. THE CLIENT EXPERIENCE 2 8 Begin execution of wealth management plan Ongoing execution of wealth management solutions 5 45-day follow-up meeting In-person meeting to discuss: First statements Organization of paperwork Set up online account access (and review online resources) Develop schedule for future review meetings Schedule wealth management plan meeting 2 Develop investment strategy Determine risk tolerance Analyze current investment portfolio Develop asset allocation strategy Portfolio construction 6 Develop comprehensive wealth management plan Comprehensive financial planning Retirement planning Credit and lending Insurance and liability management Education planning Business succession planning Charitable giving Family needs planning Estate planning 1 Discovery process Identify your goals, values, dreams, special concerns/ challenges 3 Investment strategy meeting In-person meeting to present recommended investment strategy 14 days90 days 20 days 65 daysOngoing 9 Ongoing monitoring of investment strategy and wealth management plan Develop schedule for review meeting 4 Execution of investment strategy Open new accounts Transfer existing assets Conduct trades to execute agreed-upon investment strategy 7 Wealth management plan meeting In-person meeting to present comprehensive wealth management solutions Sample 2 We have a clear process to understand your goals and develop appropriate recommendations.
For broker/dealer use only. Not for use with the public. INVESTMENT MANAGEMENT PROCESS 3 Establish investment goals and objectives 1 Determine risk tolerance Develop asset allocation strategy and investment strategy document 2 3 4 5 6 Portfolio construction: select products, advisory platforms and managers Execute investment strategy Monitor progress and make necessary adjustments Sample 1 To help achieve your financial goals, we employ a disciplined investment management process.
For broker/dealer use only. Not for use with the public. INVESTMENT MANAGEMENT PROCESS 4 Establish portfolio objectives and risk parameters Conduct cash flow analysis Develop investment policy statement (IPS) Design strategic and tactical asset allocation models Conduct rigorous due diligence using Institutional- quality analytics Client centered Assess macro- and microeconomic trends and outlook for global capital markets Construct investment portfolios Monitor and measure portfolio performance and attribution Evaluate progress of portfolios and recommend adjustments in accordance with the investment policy statement (IPS) Evaluate & review Analyze & plan Assess & construct Design & research Sample 2 To help achieve your financial goals, we employ a disciplined investment management process.
For broker/dealer use only. Not for use with the public. WEALTH MANAGEMENT SERVICES 5 Sample 1 Comprehensive wealth management services We have in-depth experience in financial planning and investment management, but we also bring in professionals with the expertise necessary for a successful wealth management plan. We will also work with any professional with whom you already have a relationship. Business Succession planning Charitable giving Family needs planning Estate planning Comprehensive financial planning Retirement planning Credit and lending Insurance and liability management Education planning Client
For broker/dealer use only. Not for use with the public. 6 Your name/Team name at XYZ Firm Comprehensive Financial Planning Retirement planning Family needs planning Credit and lending Business succession planning Executive compensation management Insurance and liability management Lifestyle review Risk review Pension and/or Social Security benefit analysis Retirement account assessment Retirement income plan Beneficiary review Healthcare/ Medicare planning Education planning Special needs child assessment and planning Planning for support of aging parents Domestic partner planning Home loans Securities- based lending Personal credit management Commercial and business lending Business needs review Cash management and capital needs assessment Business valuation Succession plan documents Succession plan funding Concentrated stock services (monetizing, hedging) Stock option strategies Restricted securities (liquidation and risk management alternatives) Expertise in highly regulated areas (i.e., collateral loans, OTC option collars, etc.) Estate and financial planning (particular to executive compensation management) Goal protection: Life insurance Long-term care Income protection Disability insurance Business overhead insurance Liability insurance Umbrella coverage Key Man insurance Estate planning Wills Power of Attorney (POA) Advance Health Care Directive Trusts Gifting Charitable giving Asset titling Estate tax funding Family dynamics/family meeting Sample 2 Comprehensive wealth management services We have in-depth experience in financial planning and investment management, but we also bring in professionals with the expertise necessary for a successful wealth management plan. We will also work with any professional with whom you already have a relationship. WEALTH MANAGEMENT SERVICES
7 For broker/dealer use only. Not for use with the public. LMTAPP.com 1-800-822-5544 youtube.com/leggmason linkedin.com/company/legg-mason @leggmason Brandywine Global ClearBridge Investments Martin Currie QS Investors Permal Royce & Associates Western Asset Legg Mason is a leading global investment company committed to helping clients reach their financial goals through long term, actively managed investment strategies. A broad mix of equities, fixed income, alternatives and cash strategies A diverse family of specialized investment managers, each with its own independent approach to research and analysis Over a century of experience in identifying opportunities and delivering astute investment solutions to clients The Advisor Partnership Program (TAPP) ® is Legg Mason’s landmark value-added offering, featuring a wide range of multidimensional workshops and seminars that empower financial advisors to build successful practices and educate their clients. TAPP delivers value in three areas of importance to advisors: branding and marketing, business management, and client needs. Branding and Marketing Your Business offers comprehensive resources for developing a value proposition and leveraging social media and the wired world for communication, brand building and client acquisition. Running Your Business showcases tactical tools and real-life insights into practice management. Addressing Client Needs provides in-depth materials to help advisors engage and inform their clients on a variety of topics. For broker/dealer use only. Not for use with the public. Legg Mason, Inc., its affiliates and its employees are not in the business of providing tax or legal advice to taxpayers. These materials and any tax-related statements are not intended or written to be used, and cannot be used or relied upon, by any such taxpayer for the purpose of avoiding tax penalties or complying with any applicable tax laws or regulations. Tax-related statements, if any, may have been written in connection with the “promotion or marketing” of the transaction(s) or matter(s) addressed by these materials, to the extent allowed by applicable law. Any such taxpayer should seek advice based on the taxpayer’s particular circumstanced from an independent tax advisor. The Advisor Partnership Program (TAPP) ® and Our Experience. Your Potential are registered trademarks of Legg Mason Investor Services, LLC. © 2015 Legg Mason Investor Services, LLC. Member FINRA, SIPC. Legg Mason Investor Services, LLC is a subsidiary of Legg Mason, Inc. 5/15 FN1511972
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