Tony Bacarella, CWS®, CFS®
Executive Management
Director, Case Planning
2 01 3 PRACTIC E MANAGE MENT CON F ER EN CE
Major Events of the past 30 Years
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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
• 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
Top 30 Innovation Past 30 Years
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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
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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
But the Trend Has Not
FINRA
Member
Firms
Change
Reps
Change
2007
2008
2009
5005
4895
4720
-2.20%
-3.58%
672,688
664,975
633,280
-1.15%
-4.77%
2010
2011
2012
2013 Aug
Net Change
4578
4456
4289
4218
-787
-3.01%
-2.66%
-3.75%
-1.66%
-15.72%
630,692
629,518
630,391
633,622
-39,066
-0.41%
-0.19%
0.14%
0.05%
-5.81%
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
Thriving for 30 years!
What is Driving the Markets?
My Best Tip
Case Planning - Expanded
John L.
George H.
Ringo S.
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
Case Planning – Help Us Help You!
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Calls - Answer FA case, product, industry, practice management,
general, or any other question. Two heads are better then one.
2.
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.
3.
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.
4.
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.
5.
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.
Case Planning
Streamlined Portfolio Development Process
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
• 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
Fidelity - Managed Account Solution
Turnkey Platform
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Manager Research
Manager Monitoring
Proposal System
Fidelity Custodian
Performance Reporting
Fee Billing
WealthCentral
Fidelity.com
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FIWS - Managed Account Solution
Fidelity WealthCentral
Managed Account Solution
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Fidelity WealthCentral - MAS
MAS – Manager Side by Side
MAS – Proposal
MAS – Proposal
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MAS – Proposal
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MAS – Proposal
Fidelity WealthCentral
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Fidelity WealthCentral - Tools
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Fidelity WealthCentral - Research
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Fidelity WealthCentral – Fund Screener
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Fidelity WealthCentral – Insight
Fidelity WealthCentral
Path to Performance
Fidelity WealthCentral
Path to Performance
WealthCentral – The Future
WealthCentral – Consolidate View
WealthCentral – Consolidate Trade View
Highlights to Keep
on Your Radar - FIWS
• Fidelity.com eDelivery - Now
– Statements, Confirms, Notices, Reports and Tax Documents
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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
• 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
2013 SPONSORS / THANK YOU!
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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.
2013 SPONSORS / THANK YOU!
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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
2013 SPONSORS / THANK YOU!
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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
Its Time To Pay Attention!
Tony Bacarella, CWS®, CFS®
Executive Management
Director, Case Planning
2 01 3 PRACTIC E MANAGE MENT CON F ER EN CE