© 2015 U PSTREAM A CADEMY, LLC1 W ORLD C LASS T RAINING: G ETTING Y OUR F IRM O N T RACK P RESENTED BY S AM M. A LLRED, F OUNDER & D IRECTOR O F U PSTREAM A CADEMY E MERGING L EADERS A CADEMY P RESENTED BY S AM A LLRED D IRECTOR OF U PSTREAM A CADEMY

© 2015 U PSTREAM A CADEMY, LLC2 With the coming flood of retirements, leadership development is a huge issue in firms across our profession. One of my concerns for our profession is that we have not taken seriously enough the responsibility to adequately prepare our future leaders.

© 2015 U PSTREAM A CADEMY, LLC3 Most leadership programs in and out of our profession, share these weaknesses: 1) They ask too little of participants 2) They create a disconnect from the firm 3) The learning experiences happen in big doses several times a year 4) They focus more on doing than becoming 5) They are expensive

© 2015 U PSTREAM A CADEMY, LLC4 We believe firms should be doing most of their own leadership training. The challenge is that while firm leaders sincerely desire to provide such training, many lack the capacity to develop their own professional leadership training program.

© 2015 U PSTREAM A CADEMY, LLC5 Emerging Leaders Academy (ELA) began in 2007 and is currently helping over 120 firms deliver world-class leadership training to over 450 emerging leaders within their firms. The program has been very successful.

© 2015 U PSTREAM A CADEMY, LLC6 P RESENTATION R OADMAP 1.Principles of leadership development 2.Overview of Emerging Leaders Academy 3.Key dates 4.Questions and answers

© 2015 U PSTREAM A CADEMY, LLC7  P RINCIPLES O F L EADERSHIP D EVELOPMENT

© 2015 U PSTREAM A CADEMY, LLC8 Learning must be continuous, delivered in digestible doses throughout the year There needs to be a strong emphasis on becoming a better leader F OUNDATIONAL P RINCIPLES

© 2015 U PSTREAM A CADEMY, LLC9 Much of the training needs to be done by current firm leaders Each participant needs to have a guide and each firm needs to have an ELA advocate F OUNDATIONAL P RINCIPLES

© 2015 U PSTREAM A CADEMY, LLC10 Individuals must be able to apply what they learn on a daily basis The program should be appropriately demanding of the participants and should stretch their abilities F OUNDATIONAL P RINCIPLES

© 2015 U PSTREAM A CADEMY, LLC11 The learning experience must be easily customizable to meet individual and firm needs The progress of each individual must be measurable F OUNDATIONAL P RINCIPLES

© 2015 U PSTREAM A CADEMY, LLC12 The program must be affordable and require minimal travel Participants need to be able to network with other emerging leaders F OUNDATIONAL P RINCIPLES

© 2015 U PSTREAM A CADEMY, LLC13  O VERVIEW O F E MERGING L EADERS A CADEMY

© 2015 U PSTREAM A CADEMY, LLC14 Each ELA participant needs to have a guide. Each firm can benefit from an ELA advocate. The guide should be a respected leader in the firm. A partner may guide more than one participant. 1. P ERSONAL G UIDES

© 2015 U PSTREAM A CADEMY, LLC15 The guide will work with the participant throughout the program and will help the individual set and accomplish goals and complete assignments. Upstream Academy will provide guidance and support for ELA guides and advocates.

© 2015 U PSTREAM A CADEMY, LLC16 The guide’s primary role is to hold the participant accountable for accomplishing tasks, goals and assignments throughout the three-year program. The ELA advocate’s primary role is to administrate the program within the firm.

© 2015 U PSTREAM A CADEMY, LLC17 Leadership skills are best learned by doing. Each year, participants will set and accomplish goals in these areas: 1. Business Development 2. Client Management 3. Personal Effectiveness 4. Team Development 5. Leadership Development 2. L EADERSHIP D EVELOPMENT G OALS

© 2015 U PSTREAM A CADEMY, LLC18 Upstream will provide a list of goals each year. Participants will complete the mandatory goals as well as select from a menu of other goal choices in each area. Guides will work closely with participants, helping them select proper goals and holding them accountable for accomplishing those goals.

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© 2015 U PSTREAM A CADEMY, LLC20 During each year of the program, one- hour webinars led by Sam Allred and Tim Bartz will provide a forum for discussing key principles of leadership. Participants will receive the PowerPoint, questions to consider, and other materials in advance of each presentation. 3. L EADERSHIP T RAINING F ORUMS

© 2015 U PSTREAM A CADEMY, LLC21 We will record each Leadership Training Forum and participants will have access to the presentation online after the webinar via the Online Progress Tracking (OPT) system. The following slides list the topics for each year’s Leadership Training Forums.

© 2015 U PSTREAM A CADEMY, LLC22 Using Time Wisely: Key Principles of Time Management, plus an overview of the Emerging Leaders Academy program Personal Integrity: A Key Component of Great Leadership Capitalizing on Personal Strengths and Talents Performing Damage Control for Areas of Personal Weakness Setting and Accomplishing Worthwhile Goals Basic Contributions to the Firm: Budgets, Billings, Collections and Ideas Client Management: Selecting and Keeping the Right Clients Moving From Historian to Trusted Advisor Providing Exceptional Client Service Helping to Make Client Transitions Successful L EADERSHIP T RAINING F ORUMS: Y EAR O NE P ERSONAL E FFECTIVENESS & C LIENT M ANAGEMENT

© 2015 U PSTREAM A CADEMY, LLC23 Learning to Give and Receive Constructive Feedback, plus an overview of Year Two Effective Delegation: How Leaders Help Others Grow Conducting Effective Performance Evaluations Principles of Effective Coaching Dealing Effectively With Underperformers Avoiding the Bandwagon: Examples of Leadership Courage Business Development: Getting Better Every Day Committing to a Personal Business Development Plan The Proper Way to Build a Business Network Becoming a Recognized Expert L EADERSHIP T RAINING F ORUMS: Y EAR T WO T EAM D EVELOPMENT & B USINESS D EVELOPMENT

© 2015 U PSTREAM A CADEMY, LLC24 Becoming a High Yield, Low Maintenance Firm Member The Importance of Personal Example: Acting Like a Leader Avoiding the 10 Worst Habits of Otherwise Good Leaders Understanding and Improving Firm Processes The Proper Way to Approach Strategic Planning What all New Partners Need to Know and Understand Your Role in Improving Client Payments Benchmarking Statistics for High Performance Firms L EADERSHIP T RAINING F ORUMS: Y EAR T HREE L EADERSHIP & F INANCIAL M ANAGEMENT

© 2015 U PSTREAM A CADEMY, LLC25 Each year, participants will complete a challenging leadership project that satisfies one or more goal requirements and allows individuals or teams of emerging leaders to further develop important skills. 4. L EADERSHIP P ROJECT

© 2015 U PSTREAM A CADEMY, LLC26 A good project should... Stretch the participant’s abilities Be specific Benefit the firm Be measurable Have a timeframe

© 2015 U PSTREAM A CADEMY, LLC27 A goal will stretch abilities if... It hasn’t been done before It’s something that is not easy to do It’s something that wasn’t already going to be done in the normal course of things It will take the participant’s best effort It pushes the participant to the edge of his/her comfort zone

© 2015 U PSTREAM A CADEMY, LLC28 Upstream Academy will provide tools (including a web-based “members only” page) for participants, guides and advocates that will allow them to track progress on goals and projects throughout the year, network with other program participants and stay connected. 5. M EASURED P ROGRESS

© 2015 U PSTREAM A CADEMY, LLC29 Each participant, guide and ELA advocate will be given a unique log-in ID allowing access to information relevant to their role within the program. Firms will also receive guidance on best practices for creating an efficient process in-house to help their emerging leaders grow during this three-year period.

© 2015 U PSTREAM A CADEMY, LLC30 To help participants stay organized and on track, all materials relating to the program will be available in the Online Progress Tracking program. All participants, guides and advocates will be able to access this information.

© 2015 U PSTREAM A CADEMY, LLC31 To help guides stay organized and on track, all materials relating to the guide program will be will be available on the Online Progress Tracking program.

© 2015 U PSTREAM A CADEMY, LLC32 Networking with peers in a stimulating group environment is an important experience for all professionals, and especially for future firm leaders. Program participants will have the option of attending one of six key UA events each year. Year One ELA participants are encouraged to attend one of the four identical Emerging Leaders Conferences. 6. N ETWORK A T A M AJOR UA E VENT

© 2015 U PSTREAM A CADEMY, LLC33 HeadWaters Leadership Conference 2015 July 9-10, 2015  Park City, Utah BestPractices Conference 2015 October 21-22, 2015  Grapevine, Texas Emerging Leaders Conference B September 22-23, 2015  Boston, Massachusetts Emerging Leaders Conference C September 24-25, 2015  Boston, Massachusetts Emerging Leaders Conference D January 12-13, 2016  Orlando, Florida Emerging Leaders Conference E January 14-15, 2016  Orlando, Florida

© 2015 U PSTREAM A CADEMY, LLC Sam Allred and Tim Bartz, the founders of Emerging Leaders Academy, bring many years of experience to this exciting program. Each will play to his strengths in helping you train the next generation of leaders in your firm E XPERIENCED C ONSULTANTS

© 2015 U PSTREAM A CADEMY, LLC35 Like everything we do at Upstream Academy, this program is unconditionally guaranteed. If you are not completely satisfied, we will, at your option, either waive your fee or accept that portion of the fee that reflects your level of satisfaction. 8. U NCONDITIONAL G UARANTEE

© 2015 U PSTREAM A CADEMY, LLC36 Upstream Academy will recommend CPE credit based on the level of participation in this course. 9. CPE

© 2015 U PSTREAM A CADEMY, LLC37 The investment for each participant is $3,000 per year ($2,500 for UAN members). This fee represents the total annual cost of the program, including the participant’s registration at one of four UA annual events. The only additional cost will be travel, lodging and meals at the event. 10. I NVESTMENT

© 2015 U PSTREAM A CADEMY, LLC38  K EY D ATES

© 2015 U PSTREAM A CADEMY, LLC39 Deadline to Register — May 15 Leadership Training Forums (1pm Mountain, 3pm Eastern) June 22 — Using Time Wisely: Key Principles of Time Management July 6 — Personal Integrity: A Key Component of Great Leadership August 3 — Capitalizing on Personal Strengths and Talents September 3 — Performing Damage Control for Areas of Personal Weakness October 16 — Setting and Accomplishing Worthwhile Goals November 16 — Basic Contributions to the Firm: Budgets, Billing, Collections & Ideas December 17 — Client Management: Selecting and Keeping the Right Clients Intro Call for New Guides – June 23, 2015 at 9am Mountain (11am Eastern) Guide Conference Calls (9am Mountain, 11am Eastern) July 6, 2015October 23, 2015January 20, 2016 K EY D ATES

© 2015 U PSTREAM A CADEMY, LLC40 HeadWaters Leadership Conference 2015 July 9-10, 2015  Park City, Utah BestPractices Conference 2015 October 21-22, 2015  Grapevine, Texas Emerging Leaders Conference B September 22-23, 2015  Boston, Massachusetts Emerging Leaders Conference C September 24-25, 2015  Boston, Massachusetts Emerging Leaders Conference D January 12-13, 2016  Orlando, Florida Emerging Leaders Conference E January 14-15, 2016  Orlando, Florida

© 2015 U PSTREAM A CADEMY, LLC41  Q UESTIONS A ND A NSWERS

© 2015 U PSTREAM A CADEMY, LLC42 Thank You!