Expertise

Expertise

Expertise

The home office staff provides expertise and support to enable our Financial Advisors to provide exceptional, tax-centric, specially-tailored financial planning for their clients.

Investment Planning

1st Global’s investment philosophy begins with proper asset allocation, distinct goals and a unique investor profile of each client. The Platform Consulting team has the privilege of helping specially selected, high-achieving CPA, tax and estate planning firms discover, adopt and implement the capabilities of the Investment Management Solutions (IMS) platform. These capabilities are essential to providing world-class total wealth management services to both emerging affluent and affluent families.

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.

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.

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.

The 1st Global Investment Management Research Group (IMRG) is a team of tenured investment professionals that operates under the oversight of the 1st Global Investment Committee and is tasked with finding “best-in-class” investment managers and products for use across the IMS Select Portfolios Strategies, as well as other IMS programs. The team’s primary responsibilities include portfolio construction and investment manager due diligence, monitoring and selection. The team brings years of experience and investment knowledge to help guide clients with asset class allocation and individual fund selection, which are all aimed at providing optimal risk-adjusted returns within each risk category.

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, which incorporates a variety of mailing materials, client seminars, focused target follow-up lists and effective scripts for use by our affiliated firms and their staff.

Marketing is also responsible for all marketing and communications initiatives for 1st Global and all 1st Global Wealth Management Academy® programs.

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. TOPS stands for Trust, Opportunity, Pain, Solution. The system works with a firm’s value system to ask the right questions to help clients find the right solutions.

Vice President, Sales and Platforms Jeff Magson 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. He partners with the more than 900 financial advisors in the field to increase and expand revenue streams within the securities, insurance and advisory platforms by providing them with the tools and support they need to succeed.

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 offers unique support mechanisms and education programs to help firms grow their practice. Vice President, Sales and Platforms Jeff Magson also oversees the BMS, BPS and BAS programs.

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.

Executive Vice President, Chief Compliance Officer Mike Pagano, JD, CRCP, CLU works with the company and its affiliated financial advisors to provide regulatory compliance oversight, strategies and management. He has extensive experience in FINRA, SEC and insurance industry regulation. He has worked inside three national financial services entities, ranging in size from 325 representatives to 2,100 representatives, catering to financial planners and insurance professionals.

*Data as of December 31, 2014

 

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame logo), which it awards to individuals who successfully complete initial and ongoing certification requirement.

CIMA®, Certified Investment Management Analyst (with graph element)®, and Certified Investment Management Analyst are registered certification marks of the Investment Management Consultants Association, Inc. in the United States, Canada, European Union, and Australia.

image description

Partner with 1st Global

If your firm is committed to being a high performance market dominator, we want to learn more about you and determine if there is a fit with our services. As a leading CPA firm growth consultant, we enable qualified firms to create long-term, profitable growth.