miami, florida · for financial professional use only. investacorp, inc., is an independent...

Miami, Florida

For more information, contact: Leslie Vigil, 305-901-1825 or [email protected]

INVESTACORP • 4400 Biscayne Boulevard, Miami, FL 33137 • (800) 804-0000 • investacorp.com •

For Financial Professional Use Only.

Dear Valued Advisor, In a world filled with choices and promises, how do you effectively choose a broker-dealer or RIA and ultimately feel confident in your final decision? Frankly, it’s no easy task. Yet, I believe the answer is rather straightforward: Align your practice with an organization whose key distinguishing characteristic resonates deepest with your business philosophy. It goes without saying that I’d like you to consider joining Investacorp. Still, how do you know that Investacorp is the right move for you and your clients? The answer is our key distinguishing characteristic… Investacorp’s uniqueness is our ability to build meaningful and lasting relationships with our advisors, evidenced by the 14+ average years advisors remain with us. Our difference is further reflected in our approachable, compassionate and honest tone of voice. When you speak with us, we’re actively available and engaged, exhibiting a sincere desire to know how you’re doing and how we can best help you. Certainly, business needs to happen, but at Investacorp it happens amongst friends. The following benefits of joining Investacorp are also particularly noteworthy:

• Access to Senior Management: Call myself or any other member of our home office staff. As I see it, our primary role is to take your calls, listen and provide proactive service.

• Multiple Affiliation Options: We offer numerous business models that help you sustain your independence, including independent broker-dealer representative, hybrid or fee-based only.

• Ladenburg Thalmann Competitive Advantage: Experience the financial strength and longevity of a global enterprise through our parent company Ladenburg Thalmann’s 135 years of investment banking, insurance and asset management expertise coupled with Investacorp’s close personal attention.

By joining Investacorp, you’ll be taking an effective step in becoming a part of something greater; a member of a family that will positively contribute to your overall happiness and success. I invite you to visit us in Miami. Only by meeting us, will our ability to form deep relationships become tangible. For more information, please call our Director of Recruiting Leslie Vigil at 800-804-0000 or visit www.investacorp.com. Sincerely,

Patrick Farrell President and CEO, Investacorp Inc.

http://www.investacorp.com/

https://www.facebook.com/Investacorp/

https://twitter.com/investacorp

https://www.linkedin.com/company/investacorp-inc.





mailto:[email protected]









































Monday, May 22, 2017

6:00 PM Dinner Leslie Vigil - Director of Recruiting & Transitions

Tuesday, May 23, 2017

9:30 AM Tour of the Home Office/Continental Breakfast Leslie Vigil

10:00 AM Technology Overview Danny Paz – Director of Technology Solutions

11:00 AM Introduction to Transition Services and Account Services Jessica Chano – Transition Coordinator / Recruiter Diana Ochoa – Transition Specialist Violet De Witt – Manager, Account Services

12:00 PM Lunch with Compliance Department Marcus Arneaud – Chief Compliance Officer Rick Slavick – Assistant Director of Compliance Chris Yarosh – Supervisor of Insurance Services

1:45 PM Introduction to Investacorp Advisory Services (IAS) Chris Thomson – Assistant Director of Compliance, IAS

2:30 PM Introduction to Practice Enhancement Team Arielle Jaffe – Director of Business Development Deborah Terranova – Practice Enhancement Specialist, Insurance

3:00 PM Introduction to Ladenburg Thalmann Resources Brian Simmons – Premier Trust, SVP-Trust Officer Mark Schubert – Ladenburg Annuity, Chief of Sales (3:30 pm)

4:00 PM Introduction to Commission Services Ingrid Gilliam – Manager

4:30 PM Closing Rana Chander – Chief Information Officer









































5 Perfect Reasons to Move Your Practice to Investacorp Everything we do for our advisors is embodied by our mantra: Your Practice Made Perfect. At Investacorp, we engage in the endless pursuit of perfection, continuously refining every element of infrastructure, services and products we offer to our advisors. You work hard every day to efficiently operate your business. Our goal is to remove some of the daily frustrations so that your practice may thrive, and provide new resources to better serve your clients.

Join a Culture of Collaboration Your ideas and opinions are integral to our daily business operations and future growth, and are actively sought out. You decide what’s best for you and your clients, as well as the products and services you offer. We influence, but do not mandate how you choose products or services, nor do we impose any proprietary sales quotas. Experience the Power of Long-Term Relationships Our number one priority is to serve you. Receive timely support from knowledgeable and long-standing home office staff. What’s more, when you need us, you can easily reconnect with the same person. In fact, our average staff tenure is almost 10 years, with one staff member to every six advisors. Furthermore, our average advisor’s tenure is 15 years. Encounter a Consultative Compliance Approach Our compliance team builds deep relationships with our advisors. We provide the oversight you need, with a keen eye to help you stay in compliance with regulatory and firm requirements. Promote your practice progressively, go ahead and be social, knowing you’re compliant. Gain Access to Expansive Advisory Services Our advisors receive a single back-office experience for commissioned and fee-based assets, or a hybrid, complete with operational and compliance support. Manage your own accounts and set fees on a per-account basis, or customize one of our turnkey third-party managed solutions. Integrate Technology Seamlessly Our technology includes a comprehensive suite of wealth and practice management automation tools, including: portfolio and client account management, research and analysis, compliance, financial and retirement planning, as well as various third-party vendor tools.

Experience perfection. Join Investacorp. It’ll be the best decision you’ll ever make.

What makes us

different? Our uniqueness lies within

our ability to build meaningful and lasting relationships with our

advisors. Our company culture emphasizes

approachability, compassion and family,

inspired by the belief that it’s far more enjoyable for you to do business with

people you like. Each day we’re united by a common

goal, to build deep relationships with our

advisors that positively contribute to their overall happiness and success.

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Investacorp, Inc., is an independent financial services firm headquartered in Miami, Florida. Our nationwide, 500-strong financial advisor network provides investment solutions and wealth management advice to individuals, families, business owners, and institutions.

Founded in 1978, Investacorp is a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc., a publicly traded financial services firm. Investacorp, Inc. is a FINRA registered independent broker-dealer and Investacorp Advisory Services, Inc., our sister company, is an SEC Registered Investment Advisor.

Primary Services Trading, advisory services, operations, compliance, marketing, and technology support. Chief Executive Officer/President Headquarters Patrick Farrell 4400 Biscayne Blvd, 11th Floor, Miami, FL 33137 Home Office Staff Representatives

~75 500+ 360

Registered Representatives Branch Offices

Presence Licensed to conduct business in all 50 states, Puerto Rico, and the District of Columbia Clearing Firm Fidelity Clearing & Custody SolutionsSM (Formerly known as National Financial Services)

Total Client Assets Advisory Assets under Management

$13 billion $2.5 billion (FY ended December 31, 2016) (FY ended December 31, 2016)













































































Entrepreneurial Independence Bolstered by Our Business-Building Resources, Collaboration & Affiliations

Investacorp partners with global investment management firms, esteemed money managers, and highly rated insurance carriers, conducting rigorous and ongoing internal due diligence on all of our sponsors. In addition, we’re able to offer you select products exclusively offered by our parent company, Ladenburg Thalmann Financial Services Inc., including: IPOs, syndicate offerings, and fixed income products, adding to the vast resources available at your fingertips.

Fidelity Investments is an independent company, unaffiliated with Investacorp. Fidelity Investments is a service provider to Investacorp. There is no form of legal partnership, agency affiliation, or similar relationship between your financial advisor and Fidelity Investments, nor is such a relationship created or implied by the information herein. Fidelity Investments has not been involved with the preparation of the content supplied by Investacorp and does not guarantee, or assume any responsibility for, its content. Fidelity Investments is a registered service mark of FMR LLC. Fidelity Clearing & Custody SolutionsSM provides clearing, custody, and other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC. 803002.1.0

Ladenburg Thalmann Financial Services Inc. Investacorp was acquired by Ladenburg Thalmann Financial Services Inc. in 2007, establishing a long-term, beneficial relationship. As Investacorp’s parent company, Ladenburg Thalmann is committed to meeting the diverse and changing needs of its clients by providing a full array of innovative, customized financial solutions.

History of Growth and Success Ladenburg Thalmann has a long history, with a proud heritage dating back over a century. They may not be a household name, but their investment banking business, Ladenburg Thalmann & Co., originally joined the New York Stock Exchange in 1879. Today, Ladenburg Thalmann still believes in the importance of building long-term relationships, integrity and providing the highest level of service, with the primary objective of putting clients’ interests first.

Fidelity Clearing & Custody SolutionsSM As Investacorp’s custodian, Fidelity Clearing & Custody Solutions works closely with us in providing a comprehensive clearing platform backed by the strength and reputation of Fidelity Investments. Furthermore, our advisors have access to WealthscapeSM, a powerful global trading platform and leading investment solution, enabling you to grow and scale your practice with confidence over the long term.





















































Representative

Dual Registration

Hybrid

IAR Only (Corporate RIA)

4 Affiliation Models to Strengthen Your Independence Select the Model that Best Fits Your Business

Investacorp’s comprehensive infrastructure, services and support are included regardless of the affiliation model you choose, including: Seamless & User-Friendly Technology Centralized account processing, automated forms, client database, E-signature, commission reporting, reports and blotters, paperless system, all integrating seamlessly with your favorite third-party applications. Practice Enhancement Services Expert succession and acquisition resources, Behavioral Financial Advisor™ training and certification, website, email and social media integration with Redtail CRM and compliance, as well as an award-winning coaching program. Consultative Compliance Approach Oversight you desire with a keen eye to help you increase sales. Our compliance team works with every one of our advisors using a consultative approach. Ladenburg Thalmann Competitive Advantage The strength of a financial enterprise offering investment banking, insurance and asset management expertise, coupled with Investacorp’s close personal attention. Education & Networking Ongoing education and networking events for you to learn from peers as well as esteemed speakers. Personalized Transition Customized resources needed to transition your business and clients quickly and efficiently, including a dedicated transition specialist. Investacorp is the last move you’ll ever need to make.









































































Leading-Edge Advisory Services Sophisticated Managed Account Solutions to Power Your Business

Investacorp Advisory Services (IAS) is a corporate RIA providing access to a comprehensive fee-based technology platform with Fidelity Clearing & Custody SolutionsSM as primary custodian. When you join IAS, you’ll have access to four pillars of flexible and customizable wealth management solutions, including:

Advisor as Portfolio Manager IAS offers multiple Advisor as Portfolio Manager solutions, enabling you to create and manage customized portfolio models specific to your clients’ needs. Depending on your business model, this program can be a true wrap account with no individual ticket charges or a fee-based account with minimal ticket charges.

Access Third-Party Money Managers at Low Account Minimums Gain access to more than 500 institutional money managers for as little as $25,000. Pick the strategist whose views on the markets, risk and portfolio construction align with your own. Furthermore, through the Envestnet technology platform, you’ll be able to consolidate all third-parties into one location and change money managers on any account using just one set of documentation. In addition, IAS advisors receive access to the Ladenburg Asset Management Program (LAMP), providing you complete managed solutions and diversified asset allocations. Portfolios are constructed at each risk level using mutual funds, ETFs or a combination of those considered tax sensitive. The LAMP program also offers three specialty portfolios, including two income oriented strategies and one internationally focused strategy.

Financial Planning & Consulting Tools Your clients’ life milestones span beyond investment management. Whether you’re providing a detailed financial plan or one-on-one consultation, capture more revenue by easily charging additional flat or hourly fees, beyond your standard commissions or reoccurring fees.

Industry Leading Fee-based Technologies Join IAS and receive access to Envestnet’s industry leading technology, enabling you to manage your clients’ assets all on one platform. Experience robust proposal generation, advanced rebalancing tools, sophisticated wealth management analytics and reporting capabilities, as well as the ability to manage models, block trade accounts and automate account rebalancing.

Advisor as Portfolio Manager

Access Third-Party

Money Managers at Low Account

Minimums

Financial Planning & Consulting

Tools

Industry Leading

Fee-based Technologies

Leading-Edge Advisory Services

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http://www.ltam.com/lamp.html

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Envestnet’s technology, enabling you to manage your clients’ assets on one platform.

500+ institutional money managers and flexible rep as portfolio manager programs.

Comprehensive trust and estate planning solutions.

Consultative compliance and practice enhancement services.

A Business Model that Helps Diversify Your Practice’s Revenue Enabling Dual Registration for Fee & Commission-based Services

Is the Hybrid RIA model right for your business? In many cases, we believe it is. When you join Investacorp and operate as a Hybrid advisor, you’ll be able to provide commissionable products through our broker-dealer relationship, as well as fee-based financial advice through our corporate RIA, Investacorp Advisory Services (IAS). Or, you may choose to establish your own independent RIA. Our goal is to help you diversify your firm’s revenue for the long term by helping you to offer a deep mix of products and services. Furthermore, Hybrid advisors are able to charge for services beyond a typical advisory access fee, such as additional fees for estate, education or tax planning. The Hybrid model offers a broad range of wealth management solutions to meet the changing needs of affluent clients. Today, wealthy individuals are more financially savvy given the vast amount of financial information at their fingertips. This upward shift of investor knowledge, combined with the complex financial needs of high-net-worth individuals, places greater pressure on advisors to provide ongoing, in-depth financial advice. As a Hybrid advisor, you’ll be better able to offer your clients a vast amount of commission-based securities, including alternative investments, insurance and annuities through Investacorp’s broker-dealer platform, as well as fee-based financial planning and investment management through IAS or your independent RIA. When you choose our Hybrid advisor model, you’ll receive access to:

The Hybrid RIA model is a win-win for you and your clients.

Corporate RIA Independent RIA Broker-Dealer

Hybrid Advisor









































































































The Parallel Program Outsourced Investment Management

The Investacorp Advisory Services (IAS) Parallel program is an open-architecture, fee-based platform that conforms to the exact needs of your business. Powered by Envestnet’s industry leading technology, Parallel provides simplified wealth management tools that speed business processes and saves time. Parallel offers maximum flexibility to manage client accounts yourself or select from a broad range of third-party providers — all reported in a single, consolidated statement.

Unified Managed Accounts Build custom portfolios that combine separately managed accounts, third-party strategists and advisor-directed models in one single account. This eliminates duplicate paperwork, with one registration and one Form 1099. By combining various investment disciplines within one account, you can streamline rebalancing, coordinate tax harvesting and allocate client funds to various managers. Third-Party Money Managers Access hundreds of institutional money managers in any investment discipline for as little as $25,000. Manager competencies range from strategic asset allocation to active management techniques. The selection of world-class managers enables you to pick the strategist whose views on the markets, risk and portfolio construction align with your own. Cloud Technology When you join IAS, you receive access to Envestnet’s full suite of technology and seamless integration with Investacorp’s LEAP technology, enabling you to manage your clients’ assets within one cloud-based platform. Applications include research analytics, proposal generation, as well as sophisticated advisory tools, practice management and reporting capabilities.

Access hundreds of institutional money managers in any investment discipline

for as little as $25,000.









































































continued

Program Account Range Custody Fee Program Fee Total Fee

(Excluding Advisor’s Fee)

Custodian/Trading Cost

Third-Party Managers–

Separately Managed Accounts

Up to $250,000 25 BPS (*) 60 BPS–115 BPS 85 BPS–140 BPS

Pershing–Unlimited Free Trades

NFS–100 Free Trades,

$25 Per Trade Thereafter

Next $250,000 10 BPS 65 BPS–120 BPS 75 BPS–130 BPS

Next $500,000 8 BPS 62 BPS–117 BPS 70 BPS–125 BPS

Next $1,000,000 7 BPS 60 BPS–115 BPS 67 BPS–122 BPS

Next $3,000,000 6 BPS 51 BPS–116 BPS 57 BPS–112 BPS

Thereafter 5 BPS 51 BPS–105 BPS 56 BPS–111 BPS

Third-Party Managers–Fund

Strategist Portfolio

Up to $250,000 15 BPS (**) 28 BPS 43 BPS–100 BPS


Next $250,000 8 BPS 27 BPS 35 BPS–100 BPS


Next $1,000,000 6 BPS 24 BPS 30 BPS–97 BPS


Thereafter 4 BPS 21 BPS 25 BPS–85 BPS

Third-Party Managers–Fund

Strategist Portfolio

Up to $250,000 25 BPS (*) 28 BPS 53 BPS–110 BPS

NFS–100 Free Trades, $25 Per Trade

Thereafter





Thereafter 5 BPS 21 BPS 26 BPS–86 BPS

Unified Managed Accounts

Up to $250,000 20 BPS (†) 35 BPS 55 BPS (††)


Next $250,000 10 BPS 35 BPS 45 BPS (††)

Next $500,000 8 BPS 30 BPS 38 BPS (††)

Next $1,000,000 7 BPS 28 BPS 35 BPS (††)

Next $3,000,000 6 BPS 28 BPS 34 BPS (††)

Above $5,000,000 5 BPS 18 BPS 23 BPS (††)

For more information, contact: IAS Advisory Services at 800-327-7900 or [email protected]. * A minimum annual custody fee of $425 will be applied if threshold is not met. ** A minimum annual custody fee of $150 will be applied if threshold is not met. † A minimum annual custody fee of $300 will be applied if threshold is not met. †† If manager is added to UMA, additional cost will apply.













































Robust Wealth Advisory & Asset Management Tools

Investacorp Advisory Services (IAS) gives you the tools to independently manage fee-based accounts your way, while choosing from a vast selection of products, including mutual funds, fixed-income, ETFs and individual equities. 3 Rep as Portfolio Manager Programs (RPM) Helping You Deliver High Caliber Financial Advice & Services Each RPM program is constructed to help you increase your ability to respond to market changes faster, customize asset allocations specific to your clients’ needs, and provide the transparency needed in today’s fiduciary era. What’s more, depending on your business preferences, our programs can be either a true wrap account with no individual ticket charges, or a fee-based account with minimal ticket charges.

Envestnet Technology Advisors who choose the IAS Architect program receive access to Envestnet’s technology enabling you to:

• Access online research tools. • Provide block trading, rebalancing, security swaps and trade-to-target functionality. • Build investment proposals which compare current and targeted allocations. • Gain access to in-depth research and portfolio simulation tools. • Distribute quarterly client market insights with your firm’s branding.

Comprehensive Infrastructure, Services & Support No matter which RPM program you choose, you’ll receive access to Investacorp’s seamless and user-friendly technology, practice enhancement services, consultative compliance support, education, networking and the Ladenburg Thalmann competitive advantage.

ARC

HIT

ECT

Discretionary account. Open architecture. No ticket charge account

via Envestnet

STR

UC

TUR

E

Discretionary account. Open architecture.

Ticket charges to client. SELE

CT

Non-discretionary, no ticket charge account.





















































FEE SCHEDULE: Rep as Portfolio Manager

Program Name ARCHITECT STRUCTURE SELECT

Program Description Discretionary account. Open architecture. No ticket charge

account via Envestnet.

Discretionary account. Open architecture.

Ticket charges to client.

Non-Discretionary, no ticket charge account. Limited universe

of approved NTF securities.(1)

Minimum $50,000 $5,000 $100,000

Custodian and Platform Envestnet at NFS Direct at NFS Direct at NFS

Min/Max Advisor Fee .40% – 2.00% .40% – 2.00% .40% – 1.00%

Performance Reporting Included Yes No2 No2

Annual Account Service Fee of $50 Paid by Client Yes No (Not Applicable) No (Not Applicable)

Minimum Platform Fee $42.50 per quarter $25 per quarter $25 per quarter

Householding Available No No No

Ticket Charges N/A3 Charged to Client4 N/A6

Platform Fees

First $250k ($0k- $249,999.99) 34 bps to Investor 20 bps to Investor

10 bps to Investor for all asset levels

Next $250k ($250k- $499,999.99) 24 bps to Investor 18 bps to Investor

Next $500k ($500k- $999,999.99) 15 bps to Investor 15 bps to Investor

Next $4,000,000 ($1M- $5M) 10 bps to Investor 10 bps to Investor5

Over $5M 6 bps to Investor 5 bps to Investor5

For more information, contact: IAS Advisory Services at 800-327-7900 or [email protected]. 1. Currently limited to 21 Fidelity ETFs. Lineup of NTF securities offered is expected to increase at later date. 2. Performance reporting is available through Albridge or Orion at additional cost to advisor. 3. If account trades excessively, IAS reserves the right to move account to separate program. 4. Specific ticket costs to be announced shortly. We anticipate ticket charges to range from $7-$10 for most transaction types; however,

some mutual fund families and/or share classes may apply an added “surcharge” (“surcharge funds”). 5. Platform fees for accounts over $2,000,000 may be negotiable. 6. Custodian service charge of $3.50 per transaction will be charged to the advisor.

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Seamless Third-Party Integration & User-Friendly Technology Increase Efficiency, Grow Revenue & Enjoy Greater Success

Investacorp’s technology platform, LEAP, has the power to transform your practice through its streamlined account opening process and dynamic display of client and account information. When you integrate LEAP into your practice, you’ll experience increased efficiencies, allowing you more time to focus on serving your clients, building your practice and ultimately enjoying greater financial success and quality of life. Seamless Integration with Third-Party Solutions While LEAP provides our advisors with the comprehensive technology solutions needed to operate and grow a thriving financial practice, many advisors desire additional technology applications from third-party providers, such as Albridge or Redtail CRM. For these advisors, Investacorp offers a comprehensive suite of third-party applications that integrate seamlessly with our LEAP technology. Key LEAP Benefits Include:

• Experience a seamless account opening process with New Business Solutions and E-signature.

• Provide superior customer service with Dashboard, a customizable solution supplying centralized client information.

• Enjoy a paperless office with Vault, providing secure cloud storage for all of your important business documents.

• Save time with Account Manager, a comprehensive client database that allows your office to easily view and manage account records.

• Save money with unlimited secure cloud storage and pre-filled paperwork packets at no additional cost to you.

Receive access to up-to-date, compliance approved sales letters and alerts.













































The following is a list of approved third-party technology vendors and their respective fees. Each application has been tested to ensure compatibility and effortless integration with LEAP.

Approved Investacorp Technology Vendors Vendor Description Fee

RedTail CRM Redtail Technology delivers web-based Client Relationship Management (CRM) solutions for the Financial Professional.

$80 per month for 15 users

Albridge Wealth Reporting Platform Standard

A portfolio management system integrating accounting consolidation and performance reporting. Additional components include Applink, which provides real-time interconnectivity and data sharing between Albridge Wealth Reporting and third-party applications, and CashEdge, which provides account aggregation to include assets beyond the portion you manage including banking, retirement, insurance, credit cards, mortgages and annuities.

$99 - $249 per month

Social Media Monitoring

Provides the opportunity to communicate using popular social media platforms such as Facebook, Twitter & LinkedIn and meet regulatory communication requirements for archiving and discovery.

$12 per month per service

eMoney Advisor

eMoney Advisor technology redefines the way financial advisors deliver advice and build relationships. With never-before-seen insights into your business or firm, including client website visibility and top clients or advisors by Assets Held Away and Under Management, advisors can make better decisions that influence the experience they offer their clients, uncover hidden opportunities, and grow their businesses.

$240-$300

Wealthscape Fee-Based Tools

Designed to help advisors manage their client portfolios, Fee-Based Tools brings together trading and account management capabilities with portfolio management applications into Wealthscape. The five major functions of the offering include: Block Trading, Rebalancing/Modeling, Account Grouping, Data Import / Export and Reporting.

$50 - $125 per month

Wealthscape & Morningstar Analytics

Includes intra-day updates, research screening, investment detail reports and hypothetical illustrations.

$40 per month

Wealthscape & Morningstar Analytics Plus

Morningstar Analytics plus access to the VA/VUL database. $90 per month

Wealthscape & Morningstar Advisor Workstation

This offering is integrated with Wealthscape and provides users with the ability to import accounts & create reports + proposals using real-time customer positions + balances.

$240 per month

ThomsonOne Book Management or Wealth Management

Experience the transactional power of Wealthscape with the comprehensive information delivery of ThomsonONE. Book Management provides tools to help brokers and advisors pinpoint new opportunities or monitor portfolios with potential risks and makes it easy to analyze holistic client views, accounts, and securities across an entire book of business. Wealth Management integrates financial planning, portfolio management and book management, providing brokers and advisors with a broad view of clients’ assets — both internal accounts and those held away.

$150 - $400 per month

ThomsonOne Market Data

Combines news from a global network of journalists with Thomson Reuters’ leading market research and data analysis, helping brokers and advisors draw on timely information to help meet client’s financial goals.

$135 - $225 per month

Software Discounts Available for: Advisor’s Assistant, Blue Vault, Dell PCs, Emerald, eMoney Advisor, Forefield Marketing, LaserApp, Naviplan Overlap, Profiles, Quodd, Red Zone Marketing, Securities Training Corp, Sendoutcards.com, Smarsh









































Business Growth Expert Advice & Resources Providing the Tools Needed to Meet Your Responsibilities

as a Financial Advisor & Business Owner

Forward-Thinking Business Development Coaching When you join Investacorp, you receive access to an award-winning coaching program. The curriculum is designed specifically to help you provide superior financial advice to clients, grow assets under management and find more time for yourself by improving operational processes. In fact, advisors who completed the coaching program have significantly improved their advisory AUM. Expert Succession Planning Guidance If you’re seeking to transition your practice, Investacorp has in-house succession planning specialists and long-term relationships with independent experts, to ensure you receive comprehensive business valuation and business continuity expertise. Our goal is to help you find a successor who matches your criteria and who will continue to provide your clients with the highest level of service. Practice Acquisition Support, Research & Financing Investacorp offers expert advice and turn-key solutions for advisors seeking to grow their business by acquiring another financial practice. Through our vast long-standing strategic relationships and parent company Ladenburg Thalmann’s comprehensive network of broker-dealers, Investacorp advisors have access to a centralized source of advisors seeking to transition their practices. Additionally, financing may be available for qualified advisors. Behavioral Financial Advisor™ Training & Certification Investacorp has introduced the Behavioral Financial Advice Training Program, in cooperation with think2perform, to help our advisors deepen client relationships, move beyond a product focus and effectively influence the spending and saving behavior of your clients, the key factor in portfolio growth. Marketing, Email & Social Media with Redtail CRM & Compliance Integration Through our strategic alliances, Investacorp advisors receive access to an easy-to-use website platform that helps you create a trustworthy digital presence, engage with clients and drive new business. Marketing campaigns are easily automated, and integrate with email and social media. In addition, Google Analytics and SEO tools are built in, and fresh, Compliance-approved content, including videos, is made available to you.














































































https://www.think2perform.com/




Personalized Transitions Zero Bottlenecks

When you join Investacorp, you’ll receive access to the infrastructure and customization needed to transition your business and clients quickly and efficiently. Furthermore, you’ll be assigned a dedicated transition specialist, and to ensure that all of your questions are answered promptly and correctly, a member from each department will be dedicated to your transition team.

Expert Transition Guidance You’ll be guided through a streamlined, four-phase transition process that takes you from start to finish, including: compliance considerations, registration paperwork, technology integration, reconciling moved accounts and compensation, facilitating client communications, and much more. Minimize Downtime Our overall goal is to simplify and accelerate your practice’s transition in order to minimize downtime and business disruption. Transition Support Includes:

• A dedicated transition specialist. • Our Getting Started guide, explaining each step of the transition process. • Assistance processing all licensing and client account documentation paperwork. • Immediate access to our technology and the training you need to get up to speed. • Financial assistance.

Experience a well-defined and proven transition process. Investacorp is committed to helping you and

your clients make a seamless transition.

















































Comprehensive Wealth Management Solutions Achieve, Grow, Sustain & Distribute Your Clients’ Wealth Using Our Inclusive Tools

To provide you with the depth of advice and resources today’s savvy investors require, Investacorp offers a comprehensive suite of integrated wealth management solutions through our parent company Ladenburg Thalmann’s affiliations.

Asset Management & Research The resources to build diversified portfolios based on fund selection and asset allocation, in-depth market analysis and due diligence are at your fingertips. What’s more, Investacorp advisors gain access to Ladenburg Thalmann’s asset management division. Insurance & Annuity Solutions Investacorp partners with Highland Capital Brokerage to bring you a full suite of insurance products. Receive guidance with writing applications, underwriting and identifying sales opportunities. What’s more, Investacorp advisors gain access to Ladenburg Thalmann Annuity Insurance Services (LTAIS), a specialized gateway to top annuity carriers and products, coupled with full-service processing and proprietary technology. Trust & Estate Planning Work with an advisor-friendly trustee that helps you continue managing assets for the next generation without the fear of losing control of your client relationships, provided by our affiliate Premier Trust Inc. Investment Banking Services Find ideal solutions for your clients, including raising capital, merger and acquisition services, proxy defense, market penetration and pricing analysis, and more. Capital Markets Expertise A wide array of equity and debt capital market products and consultation services are available to help you discover the right deal at the right time for your clients.

LTAM Market Analysis

Due DiligenceFund SelectionDiversification Strategies

LFIX

Fixed Income Trade DeskCustomized SolutionsPortfolio Reviews

LTC

OCapital Market ProductsInvestment Banking

LIR

Proprietary Equity ResearchMutual Fund Research

LTAI

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Affiliated FMOIncome Distribution PlanningAnnuity Product Consulting














































































http://www.ltam.com/index.html

https://www.highlandbrokerage.com/

http://ladenburgannuity.com/

http://premiertrust.com/








Extensive Selection of Investment & Insurance Products Unmatched Brokerage Platform

Investacorp advisors are able to operate a commission-based, fee-based or hybrid style business model. Furthermore, you’re never required to sell proprietary products. Instead, advisors are encouraged to find appropriate solutions for clients that have no conflicts of interest, enabling you to maintain the integrity of your independence.

Products and Services include: Full-Service Stocks & Bonds Trading Professionally Managed Accounts

Annuities Options

Unit Investment Trusts Limited Partnerships

Money Markets, CDs 1031/REITS

Life & Long-Term Care Insurance Margin Accounts

Direct Investments Tax-Advantage Programs

Fixed Income Desk Specialists Government, Corporate & Muni Bonds

Traditional & Roth IRAs, Simple & SEP IRAs Individual & Group 401(k)s

Trading and Fixed Income Expertise Our trade desk provides one-on-one trading and brokerage support for all of our advisors. Additionally, Investacorp has teamed with Ladenburg Fixed Income (LFIX), a full-service fixed income trading desk designed to provide you with expertise in the fixed income marketplace. LFIX specialists will work with you one-on-one to outline what fixed income solutions are available for your clients based on individualized needs analysis. Fidelity WealthscapeSM Brokerage Platform1 When you join Investacorp, you receive access to Wealthscape, Fidelity’s brokerage platform. Wealthscape is a next-generation technology that helps you strengthen relationships with clients while growing your practice. Through Wealthscape’s deep integration with eMoney, you’ll be able to move easily from planning to action and provide a modern, digital experience for your clients. Wealthscape simplifies operations and helps you serve more segments efficiently. Furthermore, it integrates market data, news, research and client information in a customizable online platform for maximum productivity. Overall, you’ll be able to provide more informed advice by leveraging a client’s complete financial life within a highly consolidated data platform.

1 WealthscapeSM is a service mark of FMR LLC.






































http://www.ladenburg.com/investment-banking/lfix




Taking Your Insurance Business to the Next Level High Touch Support to Help You Grow Your AUM

Insurance is a key component of wealth management and highly complex. By joining Investacorp, you receive access to our trusted insurance partner, Highland Capital Brokerage, and a local network of experts possessing decades of experience in building high-end financial solutions involving insurance. Our goal is to ensure the growth of your practice and the best possible outcome for your clients’ life insurance, disability and long-term care needs. Full-Service Annuity Licensing & Processing Turnkey annuity services and products are available through Ladenburg Thalmann Annuity Insurance Services LLC (LTAIS) to assist you in attracting and retaining clients. LTAIS possesses strong relationships with a broad and diverse selection of top annuity carriers. Receive access to industry-leading technologies that help you recommend products, sales tools that offer time-segmented allocation models, and annuity experts who understand product trends and economic factors impacting your clients’ allocation strategies. Receive Extensive Insurance Expertise and Solutions, Including:

Expert Point-of-Sale Support Work alongside insurance specialists who provide unparalleled point-of-sale support, including reviewing your book of business to find sales opportunities. Underwriting Advocacy & Comprehensive Carrier Relationships Partner with dedicated in-house underwriters possessing the expertise to help you with the application process. What’s more, established carrier relationships create a sense of urgency that expedites the process for you and your clients. Dedicated Manager & Advanced Case Design Experience leading-edge sales concepts, a dedicated case manager, niche products, competitive product analysis, and customized case-specific sales presentations, all to help you place even the most complex of cases. Essential Marketing Support Receive ongoing and up-to-date carrier marketing materials, relevant marketing campaigns and training, as well as in-house legal support.

Investacorp’s primary goal is to align our financial advisors with the resources that enable you to deliver the most

competitive products and pricing for your clients.










































































http://www.highlandbrokerage.com/










Resources & Events to Help Grow Your Practice Underscoring any successful business development strategy is ongoing training and continuing education. Investacorp offers specialized and in-depth opportunities for advisors to learn from peers as well as esteemed speakers, helping you to successfully compete within our ever-changing industry. National Conference Our national conference, PlanForward, is our largest event of the year and an opportunity for advisors and their families to participate in four days of learning, sharing and networking. Investacorp’s PlanForward18 will be held in Boca Raton, Florida. Leader Forum Designed to promote peer networking and relationship building, our Leader Forum is by invitation only and limited to Investacorp’s top 40 producing financial advisors. Details regarding our 2018 forum will be announced in the coming months. Ladenburg Institute of Women & Finance Symposium Dedicated to developing and accelerating the success of female advisors, the Ladenburg Institute of Women & Finance Symposium is an invitation-only event created to provide advanced education and networking support to female advisors affiliated with the Ladenburg Thalmann network. The next symposium will be held October 4-5, 2017, in Miami, Florida. Behavioral Financial Advisor™ Training & Certification Held quarterly throughout different regions of the country, the Behavioral Financial Advice Training Program, in cooperation with think2perform, is available for all Investacorp advisors. Learn how to move beyond a product focus and effectively influence the spending and saving behavior of your clients. Furthermore, advisors qualify for 21 credits toward renewing the following designations: Certified Financial Planner (CFP®), Chartered Financial Consultant (ChFC®), and through the American College’s PACE program - CLU®, CLF®, RHU®, REBC®, CAP® and CASL®, as well as through the Institute of Management Consultants - CIMA®, CIMC®, and CPWA. Sales Assistant University Held annually, the sales assistant meeting comprises two days of learning, networking and hands-on training. Details regarding our 2018 event will be announced in the coming months.













































REITs

Company Investment Company Investment

AEI • 1031 Offering Icon • CION - (BDC) -T & ADV

Blackstone • Real Estate Income Trust -T

Inland • Inland 1031 Offerings • Inland Inpoint (REG-D) • Inland Residential

Properties -T(3)

CNL • Corporate Capital Trust (BDC) -T

Moody National • Moody National II

Cole • Cole Capital Property Trust V -T

• Cole Daily NAV -A & ADV

Preferred Apartment

• Communities Preferred Stock

Dividend Capital • Industrial Trust -T SC Distributors • Carter Validus Mission Critical II -T

Franklin Square • Franklin Square IV Steadfast • Steadfast Apartments III -T

Griffin Capital • Griffin Healthcare 4 -T • Phillip Edison (REG-

D)

Strategic Storage Opportunity

• Strategic Storage Growth Opportunity Trust -T -(Closed)

• 1031 Offering

Hines • Hines HMS Income Fund (BDC) A & ADV

• Hines Global II -A

W.P. Carey • Carey - Watermark II -T • Carey Credit (BDC) T &

I

Managed Futures

Steben & Company









































Estimated Registration Fees Schedule The Registered Representatives will be required to pay:

Initial Registration Fees1 Registered Representative Registered Sales Assistant

FINRA Base Fee $800 $800

FINRA Branch Location2 $185 -$285 N/A

SIPC Plaque Per Location2 $25 N/A

FINRA Reportable Disclosure Fee(s) $150 $150

FINRA State Registration $16 - $150 $16 - $150

Investacorp Advisory Base Fee $235 $235

Investacorp Advisory State Fee $12 - $250 $12 - $250

Electronic Fingerprint Card -FL IAR Registration $60 $60

Administrative Assistant Registration $31 N/A

Minimum Production Assessment4 $3,550 N/A

Monthly Fees Registered Representative Registered Sales Assistant

Affiliation Fee $135 $50

Wealthscape Access (NFS) per user ID $25 $25, if applicable

Miscellaneous Fees Registered Representative Registered Sales Assistant

FINRA Examinations $70 - $335 $70 - $335

Continuing Education $55 $55

State Termination $40 $40

Compliance Response to FINRA and State Inquiry $150 $150

Scheduled Compliance Audit $300 N/A

Unscheduled Compliance Audit $250 N/A

Marketing Reimbursement Processing Fee 5% N/A

Minimum Production Assessment4 Varies N/A

Annual Renewal Fees1 Registered Representative Registered Sales Assistant

FINRA Renewal Part I $1,170 $545

FINRA Renewal Part II (State and Branch Office Fees) $45-$185 $45-$185

Errors and Omissions (Sept 2016 - Sept 2017)3 $3,550 N/A

1. FINRA, State, Annual Renewals and Investacorp Fees are subject to change. 2. Fee charged to Branch Manager only. 3. Errors and Omission is billed annually. For new registered representatives and sub agents the yearly amount is prorated based on the affiliation date. The

calendar year for the policy begins in September. 4. An assessment fee will be charged to registered representatives and sub agents producing less than $75,000 in gross dealer concessions. The fee will be

waived for the first renewal year after affiliation.









































Ticket Charges for National Financial Services

Security Online Phone, Fax or Email

Stock Listed + ETFs $18* $28*

Stock OTC $18* $28*

Options $18** $28**

IPOs $18 $18

Bonds (Corporate/Agencies/CDs) Principal $39.50 $39.50

Mutual Funds (open-end) $18 $25

Mutual Funds Exchange $18 each side $25 each side

MF Dollar Cost Average $1

MF Systematic Withdrawal $1

UITs $25

REITs, LPs & Alternative Investments $50

Associated Trading Fees Cost

Average Price Items $5

Multiple Fills (up to 1) $5

Postage Fee $5

CXLs & Rebills $28

*Plus $.01 per share over 1,000 shares **Plus $2.00 per contract

It is less expensive to place trades online via Wealthscape than it is to place them through the Investacorp trading staff as you will see in the following grid. Note: The above ticket charges are not applicable to the IAS advisory programs.









































National Financial Services

Miscellaneous Charges:

IRA Annual Fee $40

Asset Management Account Annual Fee

Brokerage Access - $0 Classic Card - $100 Brokerage Portfolio - $125 (Gold Card) Brokerage Portfolio - $175 (Platinum Rewards)

Inactive Fee $50

Extensions $15 to Client – Plus Interest Charged to Client (Then to Reg. Rep)

Mailgram $20

Bank Wires $15 via Web, $30 via Phone, Fax or Email

Special Checks (Third Party) $25

Stop Payments, Bounced Checks or ACHs $50

Returned Checks $50

Overnight Delivery

$30 (Next Day) $15 (Second Day) Note: May be higher depending on courier or special delivery service requested (incl. Saturday delivery).

Reorg. Items (including called $50 and matured items) $50

Non-Transferable Positions $10 per position/month

Safekeeping/Legal $10 per position/month

Transfer & Ship $100

DTC Deliveries $25

Foreign Settlements $100

Foreign Custody/Tfr. $100 per issue, or 5 cents per share (whichever is greater). No charge for ACATs.

Alternative Investments Transfer/ Re-Registration $50

Alternative Investments Annual Custody + Valuation $35

Note: Alternative Investments refer to Limited Partnerships (non-exchange), Non-Traded REITS, and Private Equity/Debt. There may be additional charges as a result of direct pass through fees from the General Partnership/Transfer Agent. Also, the clearing firm may charge a document review fee if the item has not been previously approved by the clearing firm.

IRA Termination Fee $95

ACAT Delivery Out $100

Legal Items $100

This list may not be indicative of all fees charged, by clearing firm, but rather includes the most common fees incurred.

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Your Practice & Investacorp Your Success is Our Goal. Our sole mission is to help you grow your practice by helping you to optimize your talent, time and entrepreneurial spirit. When you succeed, we succeed. The Right Size. The Right Fit. Receive the vast resources of a nationally established broker-dealer with the close personal attention of a smaller firm. At Investacorp, you are not a number. You are a familiar face. Your Clients. Your Business. Experience complete independence, objectivity and flexibility to manage your practice in the way that makes sense for you and your clients.

Your Practice Made Perfect

Join Investacorp’s endless pursuit of perfection.

CONTACT US TODAY

(800) 804-0000 investacorp.com






































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