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Tony Bacarella, CWS ® , CFS ® Executive Management Director, Case Planning. 2 0 1 3 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. Major Events of the past 30 Years. 1997 Death of Princess Diana Hong Kong handover 1999 Kosovo War 2000 Millennium, Y2K, Florida Recount

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tony bacarella cws cfs executive management director case planning
Tony Bacarella, CWS®, CFS®

Executive Management

Director, Case Planning

2 0 1 3 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

major events of the past 30 years
Major Events of the past 30 Years
  • 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
  • 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 CNN.com

top 30 innovation past 30 years
Top 30 Innovation Past 30 Years
  • 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
  • Internet, broadband, WWW (browser and html)
  • PC/laptop computers
  • Mobile phones
  • E-mail
  • 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

Source: Nightly Business report / Wharton

sigma accolades
Sigma Accolades

Sigma Financial

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

case planning expanded
Case Planning - Expanded

John L.

George H.

Ringo S.

case planning stats 2013 through august 24 th
Case Planning Stats – 2013Through 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
case planning help us help you
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.
sigma planning corporation spc platform growth
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
spc ria platform highlights
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
slide14

Fidelity - Managed Account Solution

Turnkey Platform

  • Manager Research
  • Manager Monitoring
  • Proposal System
  • Fidelity Custodian
  • Performance Reporting
  • Fee Billing
  • WealthCentral
  • Fidelity.com
slide16

Fidelity WealthCentral

ManagedAccount Solution

highlights to keep on your radar fiws
Highlights to Keep on Your Radar - FIWS
  • Fidelity.com 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
highlights to keep on your radar nfs
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
slide36

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.
slide37

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
slide38

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
tony bacarella cws cfs executive management director case planning1
Tony Bacarella, CWS®, CFS®

Executive Management

Director, Case Planning

2 0 1 3 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