hybrid presentation - sales & distribution

Outsource Specialist.

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Restricted and Confidential

Hybrid Financial – Core Philosophy

Hybrid Philosophy

Outsource Specialist

Core Belief: Our brand is NO brand

All Correspondence: On Behalf of “Issuer Name”

Mission Statement:Aligning sales targets with incentives design has been at the root of Hybrid core philosophical challenge for

the past 12 years. Rising costs, increased competition and expanding product offerings forced us to acknowledge and accept that the “traditional sales model” or “wholesale model” was in need of a facelift. Market complacency and acknowledging or accepting the true cost of sales in a rising cost environment helped modernize our core beliefs resulting in leveraging both technology and sales to create a hyper

accelerated sales methodology.

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Hybrid Financial – Select Clients

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Hybrid Financial provides retail-focused distribution services to the investment management industry throughout North America (www.hybridfinancial.com).

Distribution services in the United States are provided through our affiliate, Scura Paley Securities LLC, a licensed Broker Dealer and member of FINRA and SIPC

Hybrid’s proprietary sales and marketing platform allows Investment Managers, Issuers and Sales Forces to more effectively and efficiently distribute product through broker/dealers’ retail networks.

Corporate head offices are in New York, Toronto and Montreal.

Hybrid is independently owned and operated resulting in a unique approach with no conflict of interest to marketing, sales and distribution.

Overview the Numbers

Over $2 billion raised on behalf of clients over the past 24 months

Team of 55 dedicated sales professionals.

Proprietary database of over 300,000 U.S. and Canadian retail brokers.

Members of the team have structured and sold in excess of $250 billion of investment products

Overview the Numbers


Hybrid Financial - Executive Summary

http://www.hybridfinancial.com/

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Hybrid Financial - Timeline

In 2003 Opensky Capital, a specialized company in sales, marketing and administrative services for retail structured and alternative investment products, was created by Steven Marshall, Alex Cote and National Bank Financial.

OpenSky Capital distributed and participated in the structuring of over $4.5 billion innovative investment products, including principal protected notes, publicly-traded closed-end funds and other similar retail investment products. Opensky was the largest, independent distributor in Canada with approximately 25% of the structured product market share.

While at Opensky, Steven Marshall and Alex Cote developed and streamlined a leading-edge method on how structured product is distributed through FundServe in Canada. To date, this method is still the most efficient and effective method to distribute structured product in Canada.

In early 2011 Hybrid Financial was launched by Steven Marshall and Alex Cote along with several other highly respected senior executives to continue the unique strategy that began in 2003 with Opensky Capital.

In 2013, Marc Paley, a Managing Partner at Scura Paley, an independent investment bank in New York, merged with Hybrid Financial Ltd. to expand operations into the US markets. Scura Paley is a licensed Broker Dealer in the US.

Mr. Paley was previously Global Head of Equity Capital Markets and Global Head of the U.S. Cash Equities Business at Lehman Brothers for 18 years up to 2007. In these capacities, he managed over 700 people worldwide in Capital Markets, Trading, Sales, and Research. Mr. Paley was a member of the firm-wide Management Committee, Global Investment Banking Executive Committee, and the Global Equities Executive Committee.

Hybrid Financial Limited

Broker Dealer

Investment Banking

Structured Products

Mutual Funds

Hedge Funds

“Sales Acceleration Specialists”


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Hybrid Financial – Outsourcing Specialist Model

• Eliminate costly overlap through low cost of entry • Maximize sales team output by reducing duplication

and redundant tasks allowing the sales force to maximize performance.

• Scalable through time and product• Expand in the right areas that drive current results

without having to incur large capital expenses.• Utilize the most current technology without having to

role out the cost company wide.• Timely reporting on all facets of the sales cycle.• Ability to reach thousands of retail brokers each day

through calls, emails, events and roadshow presentations.

Industry Problem• Costly sales force • Regulatory environment • Low return on dollar spent

• Low momentum with no sense of urgency • Regulatory environment • Expense driven results

• Inefficient use of time • Brokerage compensation • Ineffective use of technology

Existing Sales Force. No Existing Sales Force.

• Seamlessly tie in with your current sales staff to compliment and enhance there territorial efforts.

• Fully collaborative process that align sales and marketing initiatives into a core message to maximize sales and branding efforts

• Utilize the most current technology without having to role out the cost company wide.

• Timely reporting on all facets of the sales cycle.• Ability to reach thousands of retail brokers each day

through calls, emails, events and roadshow presentations.

Hybrid Financial Restricted and Confidential

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Scaling the Sales Force

Capability: Sales strategy, role design, practice management

Staffing: Size, Structure, Deployment

Performance: Driving Strategy, incentive design

Client Servicing

Client interaction framework

Capability & infrastructure build

Measurement framework

Daily, monthly, annual client reporting

Analytic tools design to integrate all forms of communication

Campaign & marketing design

Client Marketing

Proprietary contact relationship management system (CRM)

Custom built database

Industry specific applications (mobile & desktop)

Predictive models & analytics

Individual & mass tracking software

Company Oversight

Operation Governance

Process Audit

Transparency & traceability

Organizational flow chart with role design and structure

HR flow chart and design

Security and backup design

Strategic Planning

Strategic Planning: sales & marketing

Value Measurement

Onboarding new employees

Campaign design for sales and marketing

Employee development plan for long term growth and education

Tool & Technology

Proprietary contact relationship management system (CRM)

Custom built database

Industry specific applications (mobile & desktop)

Predictive models & analytics

Individual & mass tracking software

Hybrid Financial –Full Suite of Outsourcing Services


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Hybrid’s Sales & Acceleration Platform – Philosophy

Hybrid Philosophy Aligning sales targets with incentives design has been at the root of Hybrid core philosophical challenge for the past 12 years. Rising costs, increased competition and expanding product offerings forced us to acknowledge and accept that the “traditional sales model” or “wholesale model” was in need of a facelift. Market complacency and acknowledging or accepting the true cost of sales in a rising cost environment helped modernize our core beliefs resulting in leveraging both technology and sales to create a hyper accelerated sales methodology.


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Hybrid’s Sales & Acceleration Platform – Database Design

Customize Database Design-Hybrid Financial proprietary database consists of

USA: 300k+ Confirmed BD/RIACanada: 10k IIROC + MFDA

-The database is built to comply with the rules and regulations of the issuing firm or syndicate on any given deal.-The database collectively pulls in all the information previously collected by Hybrid Financial to provide the sales team with the best possible information to make an informed connect.


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Hybrid’s Sales & Acceleration Platform – Tracking

Tracking Tracking each individual touch point has become a core function of Hybrid Financial proprietary sales force design. Every action from individual to mass emails, marketing material to landing pages are imbedded with unique tracking code to ensure the we not only reach our intended targets but are learning, evolving, engaging and monitoring each advisor touch point to best utilize our sales efforts and connect points.


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Hybrid’s Sales & Acceleration Platform – Email Design

Email All email communication templates are built by Sr. Team Leaders to avoid duplication, repetition, maintain brand continuity, adhere to all compliance rules and maintain speed and execution of our sales team. All templates are tracked and analyzed to ensure the best messages are always used in all outbound communication. All templates are shared in real time and are accessible across the platform in all Hybrid locations.


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Hybrid’s Sales & Acceleration Platform – Power Dialer

Acceleration PlatformHybrid Financial has spent an enormous amount of time breaking down each facets of sales process in an effort to enhance and monetize each outbound touch point. Each team is built of 6-8 persons who’s sole responsibility is to navigate the call tree uncovering live Financial Advisors. This allows us to increase efficiency of each team by 8 times the market leading to an enormous amount of live conversations every day. Market statistics dictates that in the USA: 1/22 or Canada 1/11 pick up the phone.


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Hybrid’s Sales & Acceleration Platform – Call Reporting

Call Quality, Consistency & Reporting Call reporting has been one of the biggest building block of our proprietary database. Collecting time stamp information paired with their results plugs into our model to help build the foundation of our call campaigns. As we expand, consistency and coaching has been fundamental to our sales team growth. Our system offers real time call couching as well as call recording to ensure sales consistency, training, language, brand continuity resulting in consistent messaging across the firm/team.


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Hybrid’s Sales & Acceleration Platform – Email Marketing

Email Marketing: Marketing campaigns are designed to both leverage our repeatable and scalable model while adhering to our employing company’s corporate persona to create and distribute customized, dynamic, mass market messages. Our emails are sent to targeted Financial Advisors who have either opted in organically or through the permission of the Dealer Firm or Syndicate to ensure we comply with industry rules and regulations. Our dedicated deliverability team works with industry partners, issuers, banks, external firms etc. to ensure our messages reach there intended targets inbox safely while adhering to each internal firms “spam” filters. Our results are filtered through the database to the sales desk so that the results are acted upon in a timely manner


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Hybrid’s Sales & Acceleration Platform– Work Flow Process and Design

Landing PageLanding Pages are designed to create a static portal to host all levels of information ranging from but not excluded to -marketing docs, videos, charts, graphs, regulatory filings, invitations etc. All campaigns are designed to help garner engagement, improve deliverability, ad value through ease of use to help guide the Financial Advisor through the sales funnel to a decision. Our design team works with the issuer to find, select or customize templates that will help facilitate its action through the process. All the results are monitored and tracked to ensure both a positive experience by the Financial Advisor and the results reach the supporting sales team


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Hybrid’s Sales & Acceleration Platform – Additional Features

Video & Advertisement IntegrationWith the help and guidance of Financial Advisors, Hybrid Financial has taken many steps broaden out its suite of tools to better help both Issuers and Financial Advisors. We have integrated tools such as video content and online advertisements to help strengthen and improve engagement points through out the sales process. With the rise in mobile connectivity and the virtual office our platform has evolved to deliver timely information to our target at a time that is both timely and relevant to them.


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Hybrid’s Sales & Acceleration Platform – Telephone Analytics

Telephone Analytics: To compliment our open concept office design all locations are outfitted with a large screen highlighting in real time our phone calls for all to see. This alignment of interest keeps all offices connected knowing that there peers are working in the best interest of the collective group. These calls all funnel into the platform which help us learn the patterns of our Financial Advisors.


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Hybrid Financial – Onboarding & Integration

Onboarding ProcessHybrid Financial ensures that the hardest part of the transition process is merely signing the bottom line. Whether we are onboarding a single mandate or an entire product suite, our process remains the same. We provide detailed onboarding docs, checklist and questionnaires to ensure the team has a full understanding of the firm, product and internal process.

Custom Database

Design and Segmented

Marketing Strategy

Branded & Designed

Trained Dedicated Salesforce

Monthly Reporting

Hybrid Onboarding

Docs

NEW CLIENT


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Hybrid Financial – Fee Schedule

Closed End FundUSA 0.25bps (paid on closing)

+Technolog

y Fee

2.5k (ongoin

g monthly

)*

Canada 0.25bps (paid on closing)

Unit Investment Trust 0.25bps (term close) + 0.15bps (rollover)

Mutual Fund**20k Monthly Servicing Fee**

Hedge Funds**

Notes 0.50bps (paid on closing)

Re-opens 0.25bps (paid on closing)

Bought Deals 50K (paid on closing)

IPO 100K (paid on closing, based on 20mm raise)

Private Placements 1% (total raise, paid on closing)

Investment Relations*** 12.5k***

Consulting Calculated on work required

Technology Fee* Initial Setup: Database Design, Landing Page (art & copy), Email Service Provider, Deliverability - IP Warmup, Blacklist/whitelist verification. Fee’s charged on a monthly ongoing basis for continued servicing development, design and maintenance.

Mutual/Hedge Funds Fee includes 6-8 active sales persons + Tech Fee + Expenses

Investment Relations*** Custom sales strategy leveraging the full Hybrid Platform designed to exceed the specific targeted goals of the mandate or firm

Toronto New York Montreal

390 Bay St., Suite 1102 Toronto, ON M5H 2Y2

489 Fifth Avenue, 15th FloorNew York, NY 10017

615 Rene Levesque W. Ste 640H3B 1P5, Montréal, QC

hybrid presentation - sales & distribution

Business

sales targets

sales forces

traditional sales model

true cost of sales

investment managers

innovative investment

dedicated sales professionals

opensky capital