Partnering For Success 2012
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Partnering For Success 2012 Partnering For Success 2012 Presentation Transcript

  • Partnering For Success Leaders inStrategic Lifestyle & Wealth Management™ Integrity  Performance  Innovation
  • Partnering for Success Our Mission Helping People Achieve Significance and Peace of Mind Integrity  Performance  Innovation
  • Partnering for Success Core Competency Delivering Client Focused Financial Strategies Integrity  Performance  Innovation
  • Partnering for Success Our Values Integrity High Moral Character – Consistency of Commitment Performance Achieving Goals for Clients Innovation Strategies - Execution Integrity  Performance  Innovation
  • Partnering for Success Our Philosophy Honor God in All That We Do Create an atmosphere where decisions are always based on the best interest of the client Promote a Culture of Excellence Provide a high level of support for the advisor Build Successful Partnerships Encourage the sharing of ideas and talents for the good of all Integrity  Performance  Innovation
  • Partnering for SuccessIndustry leading Hybrid Broker-Dealer and RIAInvestment Planners, Inc. is an Independent Broker-Dealer with over 100Registered Representatives. We are registered in 48 states with offices in17. We are partnered, for 20 plus years, with RBC Correspondent Servicesfor clearing and product services.IPI Wealth Management, Inc. is our Registered Investment Advisor andprofessional wealth management corporation providing advice basedsolutions. Our partners in custody include industry leaders: SchwabInstitutional, TD Ameritrade, and Fidelity Institutional. IPI Wealthmanagement was named one of the fastest growing wealth managementfirms in the United States by Financial Advisor magazine in 2008. Integrity  Performance  Innovation
  • Investment Planners,Partnering for Success- Leadership Inc. David P. Koshinski, CPA is the Owner and President of Investment Planners, Inc. and IPI Wealth Management, Inc. Dave has over 20 years of experience in the financial services industry. He began working for Investment Planners in 1987 as the Executive Vice President. He is also the founder of IPI Wealth Management. Dave has been responsible for the twenty years of consistent grow and development of IPI from a small broker dealer to a leading broker dealer and RIA. His vision and high ethics is the foundation in what separates IPI from it‘s competitors- it‘s culture. Timothy P. Highland is the Executive Vice President, of IPI. In 2009, Tim joined IPI from Russell Investment Group, where he was working with strategic relationships. Previously, Tim ran a $100MM AUM RIA which focused on HNW investors.His focus at Investment Planners is to oversee the continued growth and evolution of Investment Planners and IPI Wealth. Tim works closely with our focus partners in developing relationships and solutions that assist and support IPI advisor community. He continues to share IPI‘s commitment of finding and working with advisors who embrace the IPI Strategic Lifestyle & Wealth Management business model, and who share IPI‘s mission to help people achieve significance and peace of mind. Integrity  Performance  Innovation
  • Corporate History
  • Strategic Lifestyle & Wealth Management The design and implementation of accumulation, preservation, distribution, and transfer strategies to leverage client wealth towards the ultimate goal of achieving significance and peace of mind. Integrity  Performance  Innovation Integrity  Performance  Innovation
  • Partnering for Success IPI Vision StatementIPI will be known as innovator of Strategic Lifestyle and Wealth counseling for the mass affluent and affluent investor.IPI will attract an unprecedented number of wealth advisors who have a passion for assisting their affluent clients inachieving financial success and spiritual significance.We will be providing solutions and services that will support our wealth advisors and their clients in their pursuit of life and financial needs and goals. Our services will include leading investor solutions: core portfolio strategies, wealth accumulation and transfer services, and tax planning services. Secondly, we will provide innovative solutions for our advisor in managing client relationships: industry leading IPI Wealth Connect , an enterprise technology platform that consolidates all clients assets and liabilities and provides daily client portfolio accounting and reconciliation. In addition provides operational efficiencies: direct trading with all approvedcustodians, integration to approved industry leading investor planning and proposal tools, paperless accounts set up and workflow linked to home office and custodians and on line daily tracking of client revenue. Servicing will be second nature with all who work with, support advisors and their clients from home office. A true team environment in home office where communication and respect are the culture. IPI associates will be energized each day to come to officeand support our advisors. IPI will be provide employee first embracing dedication, personal accountability, creativity, knowledge andoptimism. We will have 200 wealth advisors with a lifestyle and wealth counseling focus. Each firm will have $75MM plus in AUM with 200 to500 clients. Profitability of each practice will be near the top of the industry standards. IPI advisors will be known for theirknowledge, innovation and client centric support of mass affluent and affluent investors. IPI will be recognized regionally in Midwest as a topwealth counseling firm. Integrity  Performance  Innovation
  • Partnering for Success- Advisor SolutionsAccess to:•Cutting Edge IPI Technology Suite • IPI Wealth Connect- Advisor paperless office portal•Custody and Clearing- RBC, Schwab, TDA, Fidelity Institutional•Focus Partners- Leading money managers and portfolio strategies •Client centric portfolio concepts •Advice and Sales Idea •Special advisor support and access•Top research- equity, fixed, ETF, mutual funds, SMA•Best in class managed account platforms•Insurance solutions•Practice Management Resources- Legacy Companies, Russell•Interactive Quarterly and Annual Advisor training conferences Integrity  Performance  Innovation
  • Partnering for Success 2012 FocusServiceIPI Technology SuiteAdvisor SolutionsInvestor Solutions Integrity  Performance  Innovation
  • Partnering for SuccessServiceIPI must ―own‖ the reputation for having set and consistently performedthe highest customer service standards in the industry. By doing so, thefirm will attract and retain advisors who benefit from and are committed tointegrating these standards in their own practice. IPI will regularlyimplement, review and revise its processes so as to continually improveits ability to exceed the expectations of its family of advisors. Every time. Integrity  Performance  Innovation
  • Partnering for Success Excellence in Service By embracing the Ritz-Carlton Model, IPI will continue to raise the bar by: • creating sustainable service upgrades • out-performing the competition • increasing employee and customer loyalty Integrity  Performance  Innovation
  • Partnering for Success Excellence in Service IPI Promise to our Advisors: We will: Work to provide the highest level of service possible. Address and find solutions for your ever-evolving needs. Approach every situation as high priority and with utmost respect. Anticipate unexpressed needs and concerns. Devise and offer cutting-edge education and training sessions. Integrity  Performance  Innovation
  • Partnering for Success- Advisor Solutions•The IPI Technology Suite •IPI WealthConnect Management Portal - One platform with best of breed CRM and integration •Salesforce and Appcrown- CRM is hub of portal and links with third party software and platforms •Envestnet Data Services •Data aggregation and reconciliation of investor assets, household performance reporting, goals based, daily • Custom data integration with partner custodians and DST, DTCC, BuyAllAccounts(future development)•Advisor friendly Compliance Solution •Experience Chief Compliance Officer that works with you.•Access to Leading product and investment platforms Integrity  Performance  Innovation
  • Partnering for Success- BD Custody & ClearingClearing Partner-Royal Bank of Canada-(NYSE RY)RBC Correspondent Services• Strong / Consistent financial performance • 18% Return on Common Equity• The premiere Canadian Financial Institution • #1 in Canada • Top ten in North America • Voted Top 10 Safest Bank *• Drivers • $ 500 + billion in total assets • $22+ billion in annual revenues • $51 billion in market capitalization • 73,773 global employees• Strategic priorities • Strong fundamentals • North American expansion • Build brand in North America & Europe • Cross enterprise leverage • Superior client experience Integrity  Performance  Innovation
  • Partnering for Success- BD Custody & ClearingRBC Correspondent Services• Strong Broker-Dealer Platform • Research-RBC Capital Mkt. ,, Argus,S&P Marketscope • Products- Comprehensive investment products • Service • Technology- Advisor tools- Betalink, FC Connect, Infoworks, ClientConnect• RBC Capital Markets • Cover 700 North American listed companies • Focus in the North American financial services, consumer, energy, technology, and healthcare sectors • Headquartered in Toronto with centers of key expertise in Calgary, Houston, London, Minneapolis, New York, and Tokyo and over 75 offices around the globe• Trust Services- Delaware Limited Trust Company, Chartered in 1914 • Partnership which is dedicated to financial advisors only • No direct trust relationships• Initiatives • Operational Support- workflow integration • Practice Support, Marketing, Consulting, Sales tools • Training- Expanded meetings and webcasts Integrity  Performance  Innovation
  • Partnering for Success- RIA Custody•The Charles Schwab Corporation is a leading provider of financial services with more than $1.4 trillion in clientassets1. Over the past 30 years, the CharlesSchwab Corporation has evolved to serve the growing needs of individualinvestors, corporations and independent advisors through its three main subsidiaries:Schwab Advisor Services Provides custodial, operations and trading services for more than 6,000 independent advisory firms, and represents 41% of the Charles Schwab Corporation‘s total assets.1Schwab Corporate & Retirement Services Administers retirement plans, equity compensation plans and other services for companies of all sizes.Schwab Investor Services Serves millions of individual investors, savers and borrowers through, phone services and more than 300 U.S. branch offices1, plus international and multicultural services.•Schwab Advisor Services is the leading provider of custodial, operational and trading support to more than 6,000independent investment advisory firms, including some of the best-managed and fastest-growing firms in the country.Schwab‗s focus is on offering the platform, products, programs and resources independent advisors need to run their firmseffectively.Over 20 years of experience Schwab Institutional has been serving investment advisors, family offices and other investment intermediaries since 1987.Employees personally committed to your success Schwab Institutional has over 1,800 employees serving the needs of registered investment advisors. Our employees span several specialties and customize our services to meet your needs. Integrity  Performance  Innovation
  • Partnering for Success- RIA Custody•TD AMERITRADE Institutional provides comprehensive brokerage and custody services to more than4,300 independent Registered Investment Advisors (RIAs), who manage over 500,000 clientaccounts(1)Over $100B AUM•Strong affiliated organizations: TD AMERITRADE and TD Bank TD AMERITRADE Holding Corp. Both retail and institutional strong: $342B of client assets at end of March 2010 Strong momentum: Industry leader in trades per day, and double-digit Net New Asset growth over last 12 months(2) Well positioned for future growth Liquid assets: $1.2B(3) Credit rating upgrade TD Bank Financial Group Rated Aaa by Moody‘s(4) One of the most well-positioned and safest banks in North America(5)Note: Percentage of independent RIAs based on advisor numbers from 2009 Cerulli Advisor Metrics report and internal TD AMERITRADE Institutional analysis as of December 31, 2009.1 As of June 30, 20102 Trades per day number based on twelve months publicly available reports for E*Trade Financial, optionsXpress and Charles Schwab as of June 30, 2010. Annualized NNA growth rate was 13% over the last 12 months (ending June 30, 2010). Value represents % of client assets as of the beginning of the April 2009 period. Net new assets (NNA) consists of total client asset inflows, less total client asset outflows, excluding activity from business combinations. Client asset inflows include interest and dividend payments and exclude changes in client assets due to market fluctuations. Net new assets are measured based on the market value of the assets as of the date of the inflows and outflows.3 As of June 30, 2010 See attached reconciliation of non-GAAP financial measures.4 Rating on TD Bank long term debt (deposits) as of January 31, 2010.5 Source: ―Americas‘s Best Companies,‖ Barron’s, May 12, 2008 and Global Finance Magazine, February 25, 2009. Integrity  Performance  Innovation
  • Partnering for SuccessMarketing Materials Support
  • Investment Planners, Inc.
  • Partnering for Success- Investors SolutionsINVESTMENT PRODUCTS-You can access a full range of institutional-caliber investment products to meet your clients‘needs with all custodial partners, including:•Equities — Domestic and foreign securities and prime brokerage and trade away services•Fixed income — Including US Treasury issues, Government agency and mortgage-backedsecurities, REITs, Corporate/Municipal bonds, and cash investments.•Mutual Funds and ETFs — More than 13,000 mutual funds, including over 11,000 no-transaction-fee funds, and a broadrange of ETFsWEALTH MANAGEMENT AND RETIREMENT PRODUCTSIn addition to investment products, you can meet your clients‘ more complex investment, education, and retirement needs:Managed Account ServicesAccess a depth and breadth of flexible managed account solutions and outsourcing services.Managed Account Platform Bundled – single contract including: research, performance reporting, broad manager & strategy selection Open-architecture – contract directly with any money manager you choose on our managed platforms platform at RBC, Schwab and TDATurnkey Asset Management Providers Mutual Fund and ETF Wraps- Russell Model Strategies, Multi-Strategy Portfolios- RBC Dynamic Portfolios Unified Managed Accounts- Parametric and PlaceMark Sales support and back-office functionsTrust Asset Services-Tax-advantaged investment choices for affluent clients. Personal Trust Reporting Services Administrative Trustee Services, provided by RBC Trust ,Charles Schwab Bank, Schwab Charitable Integrity  Performance  Innovation
  • Partnering for Success- Investors SolutionsStructured ProductsAbility to create investment strategies that meet specific needs of investors, particularly those who own concentratedstock holdings. Equity collars Variable prepaid forwards Equity-linked CDs Exchange funds Structured notesAlternative Investment Source- Private Non-traded REIT’s, Hedge FundsAll custody platforms provide enhanced custodial and shareholder services to a number of alternative investment fundsregistered under the Investment Company Act or the Commodity Exchange Act.RBC Alternative Research, Schwab Alternative Investment Source™, and TDA AlternativeAn experienced, dedicated operations service teamMonthly valuation reporting (weekly for some funds)Consolidated client statements that include alternative investments on the same statement as other holdingsRetirement Accounts & Educational AccountsTax-advantaged products to help clients achieve retirement goals and save for college education expenses.Individual Retirement AccountsEmployer-sponsored Retirement Plans including 401(k) PlansSmall-business Accounts: Qualified Retirement Plans (QRP), SEP IRA, SIMPLE IRA; Defined Benefit Plans403(b)(7) Account529 College Savings PlanEducation Savings Accounts Integrity  Performance  Innovation
  • Partnering for Success - Focus Partners Integrity  Performance  Innovation
  • Business Development Team Tim Highland Julie Hovis Andrew Ellis 217.542.1213 217.425.6340 217.542.1217 Executive Vice President Marketing and Communications Business Development, IT Administrator andrewe@investment-planners.comOffice Administration Team IPI Home Office Rita Colee Lisa Courtney Main Line 217.425.6340 217.542.1210 217.542.1219 Treasurer & Chief Operations Officer Commissions Associate Main Fax# is: 217.425.9581 Trading Department Amber Howell Jacque McDonald Fax # is: 217.233.5709 217.542.1216 217.425.6340 Financial Controller License and Registration Associate jacquem@investment-planners.comSecurities Team Karen Reynolds Mary Yeager Julie Cox 217.542.1218 217.542.1222 217.542.1212 Securities Team Leader Securities Associate Securities Associate juliec@investment-planners.comCompliance Ben Bramer David P. Koshinski, CPA Tom Ealy 217.542.1220 President Vice President Chief Compliance Officer Wealth Management Solutions
  • Partnering for Success Reference ListTom Ealy (217)398-2441Champaign, ILJohn Lavery (217)228-4433Quincy, ILMike Newton (270)393-7030Bowling Green, KYJanet Volkers (812)232-5822Terre Haute, IN For more information on how IPI can help you grow your practice call: Tim Highland, EVP Business Development 217-542-1213 Office 312-543-4623 Mobile Integrity  Performance  Innovation