9 months ago



10 KEY PERFORMANCE INDICATORS: WEALTH MANAGEMENT Key Performance Indicators: Wealth Management Broker Dealer Overview: Lion Street Financial (LSF) is a custom Broker-Dealer exclusively designed and built for Lion Street owners. Within the integrated platform we offer advisory services through our RIA, Lion Street Advisors (LSA). How our integrated platform is different. Serving the broad, long-term needs of sophisticated clients requires coordinated actions across the spectrum of products and services, whether fixed or variable construct. Regulatory lines are blurring and many solutions cross historical borders. Lion Street’s integrated platform makes products and strategies available to our owners without the restrictions, and in some cases conflict of interests, existing in pure verticals like BGAs and standalone BDs. Brian Murphy Executive Director LSF clears through Pershing, who also acts as our technology platform. Our primary advisory platform is powered by Envestnet sitting on our Pershing platform. Envestnet offers access to many managers, model management, as well as a litany of other financial technology tools. We have a full suite of comprehensive offerings with VA, VL, Mutual Fund, and Alternatives. Because of our scaled business, firms in LSF have extensive AUM in all major product types and new sales activity. Key highlights from the year include: • Accrued over $4B of assets, $600M of those assets are with our corporate RIA, a growth of 172% in 2017. • Transitioned 9,000 accounts and had 187% growth of assets on the Pershing platform. • Grew the number of registered producers by 31%. At year end 2017 there were slightly less than 100 producers. • The average GDC (BD/RIA commissions) for firms is $400K. Firms tend to offer holistic planning with a strong foundation in life insurance. • Gross revenue has exceeded 100% Compound Annual Growth Rate since inception. • Multiple audits by state and federal regulators continue to result in a clean bill of health. • Honored by our advisors and named BD of the Year by Investment Advisor Magazine in 2017, the second consecutive year.

31% KEY PERFORMANCE INDICATORS: WEALTH MANAGEMENT 51% 22% 11 29% Growth of Producing Advisors 2013 2014 2015 Growth Gross Revenue 2016 2017 31% 100% 29% 51% 22% 500+% 117% 90% 2013 2014 2015 2016 2017 2013 2014 2015 2016 2017 Lion Street Financial named 2017 Broker-Dealer of the Year by Investment Advisor magazine 100% 90% 500+% 117% | SEPTEMBER 2017 2013 2014 2015 2016 2017 2016 BROKER-DEALER OF THE YEAR DIVISION I LION STREET FINANCIAL The 2017 Broker-Dealers of the Year rely on strong corporate cultures, flexibility and business acumen to build mutual success with their advisors Left to right: Lon Dolber, Ryan Diachok, Amy Webber, John Burmeister Annuity Focus Annuities are an important product for client retirement and transfer planning. In 2017, Lion Street placed greater emphasis on employing resources to better position owners to serve their clients with myriad fixed and variable annuities. The results were rewarding with YOY growth in fixed and variable yielding a 287% increase, a strong metric that demonstrates Owners are using this product line, yet we feel this is only the beginning. In 2018, we will engage even more resources from carriers and others to drive this line of business. 2017 ANNUAL REPORT

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