Alternative Investments
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First Allied offers unique access to high-quality, late-stage venture capital offerings in companies marketing disruptive technologies in the high-tech, life sciences and alternative energy industries. These investment opportunities are highly attractive to high-net-worth and ultra-high-net-worth clients, affording our advisors the ability to offer these prospects unique opportunities.
We provide investors early access to late-stage private equity investments that seek to provide higher near-term investment returns than the public equity markets have been delivering, and greater short-term liquidity and lower risk profiles than early-stage investments. While not as risky as early-stage venture capital, late-stage private equity investments are only appropriate for select accredited investors.
We have cultivated relationships with the world’s leading venture capital firms whose investment acumen is well established. Investing in some of the most successful emerging companies backed by Kleiner Perkins, Benchmark Capital, Khosla Ventures, and New Enterprise Associates has proven to be a highly successful strategy in establishing client relationships with high-net-worth clients and family offices.
As a First Allied independent advisor, you too will have access to exclusive and coveted deals in the venture capital arena that no other financial services firm can touch.
This material is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy an investment. Private Equity and Venture Capital investments are intended for qualified investors only and are sold through an offering memorandum, which contains more complete information regarding risks, fees and expenses and should be read carefully before investing. Private Equity and Venture Capital investments provide severely limited liquidity and are speculative and should not constitute a complete investment program.
The information on this page is written to provide you with an introduction to the kinds of alternative investments First Allied may present and does not take into account your individual circumstances, financial situation or needs, nor does it represent a personalized recommendation of a particular investment to you. Information on this Web site does not constitute legal, tax or investment advice. You should consult your legal, tax and financial advisors before making any financial decisions. Additional information is available upon request.
Building a Fee-Based Business
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The financial services industry has extensively documented the advantages of fee-based compensation for financial advisors and their clients alike. Whether you subscribe exclusively to an advisory products business model, or whether you prefer a fee-and-commission compensation approach, it is hard to argue the value of ensuring that a significant percentage of your book of business be rooted in fee-based products.
First Allied helps advisors build thriving fee-based businesses by providing innovative and flexible advisory programs, designing training and support tailored to your business model, and focusing on making your business profitable.
Advisory Programs that Complement Your Business ModelWe provide a comprehensive suite of advisory programs to support all types of business models, from those who want to manage stock and bond portfolios on a discretionary basis to those that wish to outsource many tasks to overlay managers through turn-key programs. The current spectrum of advisory offerings includes:
| •. | Turn-key, tactically managed mutual fund wrap |
| •. | Advisor-directed, rep-as-portfolio-manager | •. | Advisor-directed mutual fund wrap |
| •. | Separately managed accounts | •. | Unified managed account |
| •. | Yield and large cap strategies managed by First Allied Asset Management |
| •. | A flexible fee-for-service consulting program |
A Simple, Elegant and Integrated New Solution for Advisory Business
Our next generation fee-based platform, Guided Portfolio Solutions, was developed by in-house subject matter experts who are established industry leaders in the advisory business and provides our advisors access to a wide array of investment vehicles, world-class fee-based strategies and premier third-party managers. The platform has been designed to streamline advisors’ efforts in conducting fee-based business, from the client proposal through account implementation, trading, performance reporting and ongoing support. It allows advisors to tailor investment solutions for clients based on individual risk tolerance and objectives in a consistent manner across all products on the platform.
| •. | A turn-key managed mutual fund wrap program that features custom market models and dynamic management to combat volatility. |
| •. | A packaged unified managed account that combines ETFs, mutual funds and third-party managers in a single account; also dynamically managed to address the pitfalls of volatile markets. |
New strategies and capabilities are constantly being introduced to GPS, fulfilling the needs of advisors across the spectrum. For asset gatherers, GPS will continue to offer packaged strategies that outsource asset management and the selection of vehicles and managers. For advisors who prefer to manage assets themselves, there are a wide range of existing and soon-to be-released features, from full-discretion programs that allow advisors to easily develop, manage and rebalance their own model portfolios or asset allocation models, to varying degrees of advisor discretion in shaping portfolios in more flexible versions of our packaged products.
The table is set with cutting-edge technology and numerous product offerings featuring varying degrees of flexibility. A single, elegant interface drives the creation and management of all of your clients’ advisory accounts.
Wealth Management Solutions
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Using off-the-shelf products and services may result in conflicting objectives, disrupting your clients’ ability to reach critical milestones. However, an integrated financial plan can bring together the most important components of your clients’ economic lifecycles and set them in motion—in unison. If you are interested in providing your clients with a comprehensive wealth management program that truly fulfills their needs, differentiates you from competitors and delivers the most revenue possible per customer engagement, you can turn to First Allied’s wealth management team.
First Allied Wealth Management can help you offer your clients fully integrated wealth management plans, engineered and managed by our strategic thinkers. Seasoned professionals oversee the cornerstones of our balanced platform. By following a well-balanced strategy that involves tax status optimization, pension planning, risk management, portfolio design and asset protection, you can help your clients meet their needs and objectives.
Our wealth management team is focused on a single mission: leading high-income professionals to financial independence. Our planning process begins with a thorough analysis of your client’s current economic condition and short- and long-term goals. Existing inefficiencies are identified through a comparison between your client’s current structure and an ideal planning protocol developed during more than three decades of ongoing financial research with thousands of high-income professionals. Then, we match your client’s needs and objectives with what we believe to be the industry’s best products, programs and services—and we do it all inside of a detailed, written financial plan. The plan is designed to be a living document that will be monitored and modified over time to keep pace with your client’s evolving income, lifestyle expenses and overall financial goals.
With this comprehensive solution, satisfied clients can come to a single advisor for the entirety of their planning needs, while the advisor enjoys the ability to spend more time creating and maintaining client relationships and less time crunching numbers. The wealth management platform also boasts an established doctor-specific focus area, marketed under the Greenbook For Doctors™ brand.
Within our wealth management division, we offer:
• Alternative Investments
• Retirement and Pension Services:
• 401(k)
• Profit Sharing
• Defined Benefit/Cash Balance Plans
• Section 79
• Cafeteria 125A
• COBRA
• Insurance Services
• Subject Matter Expertise in All Product Areas
