Technologys Role in the Evolution of Investment Advice Eric Clarke, - PowerPoint PPT Presentation

Technology’s Role in the Evolution of Investment Advice Eric Clarke, CEO of Orion Advisor Solutions

Using Tech to Enable the Fiduciary Process Goals Net Worth Risk Allocation Visualize Client/Advisor Assessment Selection Future Action Items Extending Leveraging Relevant Aggregation Tech Identifying Risk Based on Probabilities of Steps To Improve Planning Goal to Organize Level for the planning goals, Goal Future Workflows to Resources Investor’s risk level and tax Achievement Probabilities for both Prospects Available to Portfolios situation Outcomes Success and Clients Accomplish Goals

The Evolution of Investment Advice Individualized Portfolio Implementation Model Portfolios (Safe Harbor Provision ● Scaling Reasonable Investor Restrictions and of Rule 3a-4) Individual Portfolio Investment Product Implementation by leveraging Portfolio Sales (i.e. 40 Act ● Efficiently Allocating Investor Optimization Technology Mutual Funds ) Portfolios with Like ● Potential to increase Objectives investor transparency ● Clients Receive Statement through reporting of Detailing Account Activity actual vs. benchmark ● Funds Return Compared to performance and goal an Appropriate Benchmark progress / achievement

Expectations for Delivering the Best Possible Advice to Clients Today, Advisors Readily Have Access to Afgordable Technology, Enabling Them To Improve Transparency with Investors Creating Holistic Financial Plans: Building recommendations leveraging a holistic view of a client’s financial situation , including a view of the investors entire balance sheet — enabling the advisor to be in position to provide best interest fiduciary advice. Personalizing Investment Strategies: Delivering advice at scale by leveraging technology to personalize portfolios. Delivering Comprehensive Reporting: Empowering investors to become more organized and educated around their finances by distributing quarterly reports that include a description of all account activity, performance relative to appropriate benchmarks and the investor’s goals.

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