Investment Planning

1st Global’s investment philosophy begins with proper asset allocation, distinct goals and a unique investor profile of each client. Director Investment Management Solutions, Rob Jackson, helps 1st Global Financial Advisors with high-end wealth management solutions. His duties include money manager due diligence and alternative investment product due diligence, asset allocation, planning solutions for concentrated equity positions, structured investment products and estate and income tax planning for high net worth clients.

Estate Planning

Designing and implementing complete estate planning solutions can be complex and involve retirement, investment, tax and insurance planning. The goal of estate planning is to direct a client’s assets to those people and institutions of the client’s choosing while minimizing the impact of taxes.

Advanced Case Design Manager Ed Bowen, CLU, ChFC, coordinates the overall planning and implementation of complex financial strategies involving high net worth individuals and closely held business owners. His management responsibilities include contributing to enterprise-level strategic planning and operational oversight on matters related to product development, relationship management, and market/business trends.

Retirement Planning

Retirement planning is a dynamically changing area of wealth management. 1st Global offers a number of retirement planning product solutions and services to help our affiliated firms and their clients find the appropriate solutions for their unique needs.

Director of Retirement Planning Carol McBeth, CFS, APR, CRPS, AIF, specializes in the design and implementation of qualified retirement plans. Carol has 14 years of experience consulting with financial planners, tax advisors, small-business owners and individual clients wishing to implement a retirement plan.

Fee-Based Asset Management

1st Global’s advisory platform, Investment Management Solutions (IMS), provides Investment Adviser Representatives and Registered Investment Advisers with a comprehensive suite of fee-based solutions to meet the needs of firms and clients alike. IMS solutions range from turnkey asset management portfolios of mutual funds and exchange traded funds (ETFs) to highly customized unified managed accounts that provide broad diversification of client portfolios through personalized asset allocation modeling utilizing separately managed accounts, ETFs and mutual funds.

David Knoch, CIMA, vice president of Sales and Operations, is responsible for all operational aspects of 1st Global’s fee-based advisory services. Since joining 1st Global, David has worked on or led several key strategic initiatives, including the re-development of 1st Global’s IMS programs. David also serves on the Marketing & Investment Advisory Council for the Financial Services Institute.

Marketing

An essential ingredient in the success of any wealth management firm is marketing. Marketing is the ability to create top-of-mind awareness with clients of the solutions that the firm offers. Consistent marketing can be the key difference between a marginal wealth management firm and a hugely successful one. 1st Global provides a systematic, comprehensive marketing plan, the Marketing Field Guide, that incorporates a variety of mailing materials, client seminars, focused target followup lists and effective scripts for use by our affiliated firms and their staff.

Vice President of Marketing Bill Stevens is responsible for overseeing all marketing and communications initiatives for 1st Global. Bill has 16 years of financial services experience, and is a frequent speaker at industry events and published author on wealth management, marketing and leadership issues.

Sales

Sales competency is vital to any successful business. The majority of financial advisors fail because they erroneously believe that technical knowledge of the wealth management arena is the primary competency required. Technical knowledge alone is not the key to success. The primary competency required is the advisor’s ability to ethically influence clients to implement the technical advice they are given. 1st Global has a proven implementation system specifically designed for CPAs, tax and accounting, and legal professionals. This system is referred to as TOPS.

Vice President of Business Management Services Al Prentice oversees the development of sales and marketing plans for advisors and affiliated firms, as well as overall strategies for financial planning, changes in product mix, and considerations for varying economic conditions. Al has worked with hundreds of tax and accounting professionals in introducing financial services and developing successful wealth management practices.

Implementation Models for Success

Proper support and education are essential in growing a wealth management practice. 1st Global offers four distinct implementation and support programs for tax, accounting and law firms to choose from based on their own unique needs and desires: the Independent Advisor model, Business Management Services (BMS), Business Partnership Services (BPS) and Business Affiliate Services (BAS). Each of these models offer unique support mechanisms and education programs to help firms grow their practice.

Vice President of Business Management Services Al Prentice oversees the BMS, BPS and BAS programs. His responsibilities include the development of sales and marketing plans for advisors and affiliated firms, as well as overall strategies for financial planning, changes in product mix, and considerations for varying economic conditions. Al has worked with hundreds of tax and accounting firms in introducing financial services and developing successful wealth management practices.

Compliance

1st Global believes that a culture of compliance must be part of every wealth management firm’s core business model. 1st Global has published numerous tools and resources to help our affiliated firms stay compliant.

Vice President and Chief Compliance Officer Mike Pagano, JD, CLU, has extensive experience in NASD, SEC and insurance industry regulation. He has worked inside three national financial services entities, ranging in size from 325 representatives to 2100 representatives, catering to financial planners and insurance professionals.