12 th Annual Client Appreciation and Wealth Management Conference. for. Working YOU. September 27 & 28, 2018 Springdale, Utah

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1 12 th Annual Client Appreciation and Wealth Management Conference September 27 & 28, 2018 Springdale, Utah Working for YOU

2 Soltis Investment Advisors Mission Statement To create, build, and manage wealth so our clients are free to pursue life s most important endeavors. Soltis Background Founded in 1993 as a Fee Only, Federally Registered Investment Advisory (RIA) Firm. The Company s Key Philosophy is Founded on Performance, Independence, and a Non Conflict of Interest Environment. Currently Provide Investment Advisory Services to over $4.0 Billion* for more than 100 Institutional Clients. *Comprised of Assets Under Management and Assets Under Advisement (AUM/AUA)

3 Working For You Soltis Team Technology Soltis Operations YOU Strength of Investment Committee Advisor Expertise

4 Soltis Team

5 Representative Soltis Service Team Sharon Peck Client Relationship Manager The Client Relationship Managers are focused on assisting the Senior Advisors with the overall relationship management of the client. As the primary contacts for day to day service and operational needs, the main goal of the Client Relationship Manager is to deliver exceptional client service and be available to assist with any aspect of the clients accounts, or put them in contact with the appropriate resources at Soltis. On a regular basis the Client Service Manager is available to assist service items that ensure each client receives a high level of service with the firm. Jeff Leavitt Analyst The Soltis Analyst also plays an important role at the firm. Under the direction of the Senior Advisor, the analysts assist with preparing client reviews, financial plans, and conducting additional research as requested. The Analystis available as an additional resource for assisting clients with anything they might need. Jedd Wilson Senior Advisor The Senior Advisors are focused on overseeing each client relationship from the initial implementation of the client service plan throughout their experience at Soltis. As the lead advisor, the Senior Advisor conducts ongoing portfolio reviews where the clients not only review their account performance, but also define their goals and ensure their progress in tracking toward these goals. The Senior Advisors ensure that each client receives a high level of service and has an overall positive experience with the firm. Clark V. Taylor Partner, Wealth Management Services Responsible for the overall Wealth Management Division and the services provided to the client. The divisional Vice Presidents work closely with the Senior Advisors to ensure exceptional proactive client service. Also works closely with the firm s Board of Managers to form strategic initiatives for the firm and ensure Compliance with SEC and other Fiduciary Compliance requirements. Bill Wallace CIO Chairman of the Investment Committee responsible for the investment manager research, asset allocation studies, portfolio monitoring and performance measurement, and investment themes for the management of the portfolios. Responsible for the due diligence of investment options and monitors and evaluates mutual funds, separate accounts managers and alternative investments for use in current and prospective clients.

6 Soltis New Team Members Christie Krompel Behunin Advisor Jedd Wilson Senior Advisor Tyson Gillies Advisor/Analyst Ammon Christensen Investment Associate

7 Technology COMPLIANCE TECHNOLOGIES

8 Soltis Advisors 36 Years 32 Years 25 Years 25 Years 18 Years Lon Henderson Hal Anderson Kim Anderson Tyler Wilkinson Clark Taylor 16 Years 18 Years 35 Years 8Years 4 Years 23 Years Tyler Finlinson Brent Moore William Wallace Shawn Woods Lindsey Lewis Jedd Wilson 6 Years 7 Years 4 Years 10 Years 4 Years 20 Years 39 Years 7Years T.J. Adams David Sentman Christie Krompel Behunin Benjamin Justice Jeffrey Leavitt James Shumway Experience of Committee Members = Average 18 Years Committee Credentials = MBA(8), CFA (3), CIMA (2), CFP (5), AIF (1), CHSA (1) Wayne Demeester Bruce Merrell

9 Soltis has received CEFEX Certification How Clients Benefit: CEFEX certified Investment Advisors proudly display the CEFEX Mark. Voluntarily, they undergo annual fiduciary assessments conducted by independent expert analysts. The resulting assessment reports are reviewed by a separate registration committee. This program can be thought of as a sophisticated peer review system. The CEFEX certification ensures that the advisor has prudent fiduciary practices in place and a culture of excellence, supported by documented and structured processes. Documented and structured processes are more likely to result in investment portfolios that: Are better designed and have lower costs Can deal with a wider range of investment conditions The CEFEX Mark Benefits to clients: Higher probability of enhanced portfolio outcomes Increased transparency Make fewer strategic mistakes Better manage client expectations through education, reporting and disclosure Increased oversight Competitive influence The CEFEX Fiduciary Assessment: Validates practices and processes Assesses structure, systems, support and reporting Reviews risk assessment Samples client files Is complementary to regulatory exams For more information on CEFEX, please contact Charles Burger at , ext. 244 or cburger@cefex.org CEFEX Centre for Fiduciary Excellence, LLC. is an independent certification organization. CEFEX works closely with industry experts to provide comprehensive assessment programs to promote fiduciary best practices. It certifies investment stewards, advisors, fiduciary advisers (PPA), managers, ASPPA recordkeepers, ASPPA administrators, and support services firms. To learn more about CEFEX, please visit Abele Office Park 10 Emerson Lane, Suite 801 Bridgeville, PA Tel: ext. 244 e mail: cburger@cefex.org 2255B Queen St. East, Suite 406 Toronto, Ontario Canada M4E 1G3

10 Soltis Investment Committee 35 Years William W. Wallace, CFA CIO, Director of Investment Research 38 Years 36 Years 25 Years 25 Years 21 Years Steven D. Harrop Retired 5 Star Money Manager, CFA Lon E. Henderson Managing Partner 18 Years 18 Years Kim D. Anderson Managing Partner Tyler K. Wilkinson Managing Partner 16 Years 8Years Kelli Holmstead Operations Manager 6 Years Clark V. Taylor Managing Partner Brent D. Moore Managing Partner Tyler Finlinson Managing Partner Shawn S. Woods, CFA Senior Advisor TJ Adams Senior Advisor Experience of Committee Members = Average 22 Years Committee Credentials = MBA(3), CFA (3), CIMA (2), CFP (2), AIF (1), CHSA (1)

11 Soltis Investment Committee: Asset Class Assignments US EQUITY US Large Cap Bill Wallace, CFA Chief Investment Officer 34 years of investment experience US Mid & Small Cap Brent Moore, CIMA Managing Partner, Senior Advisor 16 years of investment experience ALTER NATIVES Real Estate Kim Anderson Managing Partner, COO, VP 22 years of investment experience Private Equity & Alternatives Clark Taylor Managing Partner, VP 17 years of investment experience INT L EQUITY Developed International Tyler Wilkinson Managing Partner, CFO, CCO 22 years of investment experience Emerging Markets Tyler Finlinson, CIMA Managing Partner, Senior Advisor 15 years of investment experience FIXED INCOME ASSET ALLOCATION Fixed Income TJ Adams Senior Advisor 6 years of investment experience Tactical Asset Allocation Bill Wallace, CFA Chief Investment Officer 34 years of investment experience

12 Customer Service Committee Sharon Kendall Group Leader Brent Moore BOM Representative Ben Justice Advisor/Analyst Nancy Bailey Client Relationship Manager 2018 Primary Initiatives Taylor Beckwith Client Relationship Manager Efficiencies through Technology Alternative Investments FAQs and Processing Client Segmentation Carli Ivie Client Relationship Manager Support

13 Operations Committee Kelli Holmstead Group Leader Tyler Wilkinson BOM Representative Tara Wright Operations Specialist Shawn Woods Senior Advisor Organization Reporting Board Financial Report Consolidation Joyce Madsen Executive Assistant 2018 Primary Initiatives Jill Homer Analyst David Sentman Advisor/Analyst Taylor Beckwith Client Relationship Manager ICM Packets Tamarac and Salesforce Integration

14 Client Advisory Board Opportunity to hear the voice of our clients Obtain feedback to continually improve Soltis services and offerings Assist Soltis in identifying client priorities Make clients ambassadors to help grow business