TD Ameritrade Institutional s Technology Triple Threat

Transcription

1 TD Ameritrade Institutional s Technology Triple Threat Bob Mahoney, Director, Technology Solutions This material is designed for an investment professional audience, primarily Registered Investment Advisors (RIAs). TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.

2 Important Disclosures This presentation includes a feature that allows recording of electronic (including audio) participant-shared content. By continued participation in this session, you automatically consent to such recording, and the subsequent rebroadcast of any recording. Presentations are for informational purposes only. TD Ameritrade, Inc., and all third parties mentioned are separate and unaffiliated and are not responsible for each other s services or policies. All product and service names are property of their respective owners. Examples presented are provided for illustrative and educational use only and are not a recommendation or solicitation to purchase or sell any specific security. TD Ameritrade does not provide legal or tax advice. Access to Veo Open Access capabilities is provided as a service to independent advisors using the brokerage, execution and custody services of TD Ameritrade. Veo Open Access is an indication of potential programming compatibility. It does not imply any TD Ameritrade, Inc. recommendation of, endorsement of, warranty of, or fitness for use of any third party s products or services. TD Ameritrade is not responsible for information, opinions or services provided by a third party. Since TD Ameritrade must ensure that all vendors meet security requirements, integration with new vendors is not immediate and cannot be guaranteed. Brokerage services provided exclusively by TD Ameritrade, Inc., member FINRA/SIPC. The Integration Analyzer TM is for informational purposes only and is subject to change without notice. None of the information contained herein constitutes, or intends to constitute, the recommendation of the named services. The content of the Integration Analyzer TM is subject to copyright with all rights reserved.

3 Important Disclosures Examples are provided for informational purposes only. Additional third-party companies may be available, but are not listed. TD Ameritrade does not guarantee the accuracy, completeness, or suitability of any third-party product or service for any purpose, and makes no warranties with respect to the results to be obtained from its use. Listing an example does not constitute an endorsement of the firm by TD Ameritrade. TD Ameritrade and any above mentioned firms are separate and unaffiliated companies and are not responsible for one another's products, policies or services. All product and service names are property of their respective owners. TD Ameritrade has business relationships with some or all of those third-party vendors and such relationships may result in additional revenue coming to TD Ameritrade from such vendors if the recipient acts on recommendations made herein. TD Ameritrade does not endorse any third party vendor mentioned herein or otherwise. TD Ameritrade expressly disclaims any warranty or merchantability of fitness for a particular purpose, use or application and assumes no responsibility for any action the recipient may take (or fail to take) based on recommendations made in or information contained in this questionnaire. irebal products and services property of ThinkTech, Inc., an affiliate of TD Ameritrade, Inc. irebal offers a flexible tax harvesting feature that allows you to set various loss thresholds for taxable accounts, total loss targets for portfolios, and choose a replacement security for each harvested security. Once the thresholds have been set, irebal identifies eligible losses in taxable accounts, and shows you the securities that fit the criteria that you have defined. TD Ameritrade Institutional does not provide tax advice.

4 About TD Ameritrade Institutional Source:

5 Top Strategic Initiatives for Growth Deploying technology to increase scale Systematizing client service and delivery TD Ameritrade Institutional 2014 Advisor Survey

6 What Would Prompt You to Consider Changing Your Current Technology Systems? (Respondents could select up to two) To improve workflow 62.6% To expand capacity 44.8% An increase in AUM An increase in number of clients An increase in revenue 18.7% 16.5% 21.7% 0% 10% 20% 30% 40% 50% 60% 70% 6 Source: InvestmentNews 2015 Adviser Technology Study

7 $90,000 $80,000 $70,000 $60,000 $50,000 $40,000 $30,000 $20,000 $10,000 $0 Year-Over-Year Total Technology Spending $65, % increase $80, Source: InvestmentNews 2015 Adviser Technology Study

8 Tech Spending: Do you expect to adjust your technology budget in % 55.1% We will increase spending We will decrease spending We will keep spending the same 6.4% 8 Source: InvestmentNews 2015 Adviser Technology Study

9 Primary Staffing Resource for Technology Expertise (Installation, Implementation, Training, and On-going Support) Consultants or third-parties 33.8% Knowledgeable staff (Not primary role) 29.9% Technology outsourcing 21.4% Dedicated IT staff 10.7% 0% 5% 10% 15% 20% 25% 30% 35% 40% 9 Source: InvestmentNews 2015 Adviser Technology Study

10 Are Your Integrated Systems Automated? 21.9% Yes; I don't have to do anything 51.7% 26.4% No; limited to importing and downloading files Some are automated, but others are not 10 Source: InvestmentNews 2015 Adviser Technology Study

11 Obstacles Limiting the Integration of Systems (Respondents could select multiple, except None ) Insufficient staff time for developing a plan or implementing fully integrated systems 37.6% Unable to identify an appropriate solution 29.4% One or more systems that we would like to integrate are currently manual 24.0% Lack of software vendor support Lack of internal resources for investing in, and maintaining, a solution 18.6% 17.6% Low return on investment None Can't keep up with the pace of new technology Lack of support from our custodian or broker-dealer 11.8% 11.8% 10.9% 10.9% 11 Source: InvestmentNews 2015 Adviser Technology Study Inability to get real-time data feeds 8.1% 0% 5% 10% 15% 20% 25% 30% 35% 40%

12 12 Veo Open Access

13 Benefits of Veo Open Access choice flexibility efficiency

14 CRM Integrations Available Now: 14

15 Process Improvements Streamlined Management Fee Billing Run Management Fee Report Run Management Fee Report Save Report to computer Navigate to Management Fee Import Function Click button to submit fees to TD Ameritrade Prior Workflow Current Workflow Log into Portfolio Management system Log into Portfolio Management system Export Management Fee Report Click button to submit fees Log into Custodian TD System Ameritrade Load Saved Management Fee File

16 Process Improvements Streamlined Rebalancing Log into rebalancing application and create rebalancing event and trade file Export and save trade order file Log into Custodian System Import trade order file Streamlining Workflows Submit orders to Custodian 16 Receive alert and log into rebalancing system Create rebalancing event and trade order file Submit orders to Veo

17 17 Collaborating & Idea Sharing Tech Summit 2014

18 Building Veo Open Access SM Together With Third- Party Technology Providers 8 in in 2015

19 Veo Open Access Integrations CRM Solutions Portfolio Management Financial Planning Online Advice Solutions Office Tools Analytics Trading & Rebalancing

20 TD Ameritrade s Custodial Technology Earns Top Marks for RIA Satisfaction 3 Years in a Row! - Financial Planning Tech Survey, Dec 2012, Dec 2013, and Dec 2014

21 How Do Your Applications Interact? For illustrative purposes only.

22 Bringing It All Together with:

23 Inconsistent Experiences Compliance Portfolio Mgmt Planning Document Mgmt CRM Vault RIA OPS Multiple Logins - Time Dedicated to Process - Unproductive Workflow - Disparate Systems

24 Consistent, Unified Experience One Experience RIA OPS Single Access Point - More Time with Clients - Consistent Experience - Less Dependency on Others

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26 Also Coming Soon to Veo One

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30 One Glance TASKS For illustrative purposes only.

31 TEST CLIENT TEST CLIENT 2 Test Client Test Client 1, 401 (K) Test Client 1 and Test Client 2, Corporation Test Client 2, 403 (B) Test Client 1 and Test Client 2 For illustrative purposes only.

32 TEST CLIENT TEST CLIENT 2 For illustrative purposes only.

33 For illustrative purposes only. TEST CLIENT 2

34 Responsive Technology 34 For illustrative purposes only.

35 Roadmap Adding more vendor integrations Delivering business intelligence and analytics Creating simplified workflows Onboarding and training advisors

36 2 nd Piece of the Puzzle irebal on Veo 36

37 For illustrative purposes only.

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40 For illustrative purposes only. For illustrative purposes only. For illustrative purposes only.

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42 Fully Rebalance Securities and Cash Invest Cash Generate Cash Increase Security Positions Decrease Security Positions

43 Manage Cash Only Generate and/or Invest Cash Invest Cash Only Generate Cash Only

44 Directed Trading Replace Securities Harvest Tax Losses

45 For illustrative purposes only.

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51 Automated Portfolio Monitoring irebal can monitor all portfolios based on an advisor s settings monitoring can even occur daily Through Veo alerts, advisors can be notified when any portfolio: needs to raise cash according to your settings has new cash to invest according to your settings has drifted beyond your acceptable rebalancing bands Orders will be generated by irebal and will be waiting for review 51

52 Giving You Control With easy-to-use global settings, you do not have to worry about: Avoidance of short term gains (or, gains which are close to transitioning to long-term) Avoidance of Early redemption penalties on mutual funds Advisors will be reminded 30 days later that the wash sale period has expired How much drift is acceptable and how closely to target each security Trade minimums 52

53 Technology Triple Threat irebal on Veo thinkpipes 53

54 What is thinkpipes? Trading and Market Data System Streaming market data Stocks, ETFs, options, futures Access to Level II data Time and sales Alerts and news, including streaming CNBC Company fundamental research Market events calendar Strategies education help thinkpipes Learning Center Video tutorials TD Ameritrade magazines and newsletters Release notes Options involve risks and are not suitable for all investors

55 thinkpipes Advanced Trading Capabilities Robust position analysis Pre- and post-trade block allocations Algorithmic trading choices Extensive real-time charting Complex options functionality Smart Navigational Features Customizable menus Personalized dashboards Point and click trading Tabbed browsing and windows Options involve risks and are not suitable for all investors

56 thinkpipes Flexible Data Solutions Easily import orders and allocations Single equity and options trades Multiple equity trades Spread allocations Quickly export to Excel One-click access to account views by group, individual, and household levels Options involve risks and are not suitable for all investors

57 Customizable Look and Feel For illustrative purposes only.

58 Watch List and Chart For illustrative purposes only.

59 Option Chain Quotes and Underlying Stock Information For illustrative purposes only.

60 Position Analysis / Creating a Covered Call Trade 20,200 20,200 For illustrative purposes only.

61 Calendar Dividends, Earnings and Conference Calls For illustrative purposes only.

62 CNBC News Fundamental For illustrative purposes only.

63 Technology Triple Threat irebal on Veo thinkpipes 63

64 Questions? This document contains confidential information for use by TD Ameritrade Holding Corporation and its subsidiaries. 5/13/