All right. Welcome to the webinar. My name is Sean Hollingshead. Joining me today is Connor and Mario from our team. We're really excited to spend a few minutes with you and we we sincerely appreciate you taking time out of your business. A couple of housekeeping items, if you don't see the slides progressing forward in the system, go ahead and refresh, refresh your browser and that should update that. As you have questions throughout the webinar, feel free to submit those on the online system. We will answer those live throughout the, the, the webinar and you're welcome to submit any questions you have as we go throughout that. The purpose of the webinar today is to give you insight into the Orion stack system and and what we've built over the last couple of years. You go back you know 5-6, seven years, Orion really was a core reporting system and what we've really made an emphasis on is building and acquiring and finding firms that mesh in a more integrated format. And so today, although we won't be able to go in the time we have into every single detail, the hope is that you'll have a sense of what this this Orion stack structure looks like, how it can be made available, some of the benefits and values from from your firm's perspective into growing into a much more scalable technology platform. Most of you familiar with Orion, but just as a summary, you know one of one of the most recent acquisitions is the Redtail acquisition. That's been a great partnership for a long, long time. Red has a massive footprint in the industry. They're the market leader in our industry. They built the CRM specifically for this space and they've done a really good job building out and marketing out to advisors and serving that clientele in a in a very, very good format over time. Orion has also had the pleasure of growing over the last few years we've grown steadily and we've also been able to acquire some firms both on the risk analytics side, the compliance side and the wealth management side. And today the purpose is that really talk about how of that all of this is coming together in in a stack type format or a tech stack format if you will. We spend a lot of time talking to advisors. We spend a lot of time sitting across the desk room and understanding what's going well in their business, what's going to struggle in their business. And as you can imagine from a technology perspective, one of the biggest pain points is their technology is like a spoken wheel. They use a core reporting system. They have a financial planning tool over here. They have a CRM, they use an Excel macro. They have a number of other different items within their tech stack. And they're trying to piece all of this information together to manage their clients, to provide a valuable service, to be able to provide investment analytics and reporting. And as many of you deal with already today, it's it's a pain. It's just not that easy. Dual maintenance alone cost hours and hours of the firm's week when you could be spending time prospecting, marketing and growing the business. And when you think about this lack of integration, you know the integration in the industry has really shifted over time. It used to be a single sign on was considered immigration, then it became all we passed a little bit of data back and forth. Well now Orion has the fortune with some of the acquisitions we've made and some of the integration work that we've done is to the best of our degree we've started to build an all in one type solution. I know that's cliche, I always hate saying that, but it it really is impactful if you think about it if I can go to one spot. And I can grab my reporting metrics. I have risk analytics. I have my contact management system where I can grab calendaring items, workflow analysis, etcetera. I can trade my client accounts. Oh, by the way, I have a custom indexing scenario for a high net worth client. When you think about the day in the life of an advisor and all of the things that you need to do over the course of that day, we don't want technology getting in the way. When technology begins to dam up your processes, it's probably time to start looking for other technology. And the purpose of the Orion stack system is to create a pathway to ease into some of these transitions, whether it's a wealth management client, whether it's an outsource, the new trading scenario, whatever it might be. So I want to introduce briefly the Orion stack structure and then we're going to spend a few minutes between myself, Connor and Mario and we're going to, we're going to demo how this all pieces together within the Orion system. There's two structures that we look through when we think about Orion stacks, think of them in two different silos. 1 is what we call the essential stack. I would consider that a core reporting and CRM package. So all of the core things that you may, if you're already an existing partner of ours know about Orion. When you think about reporting, billing, trading and client experience, those are all built into this essentials or core technology stack that is made available to you. In addition to that, you also have access to Redtail. Redtail is included in that that essential stack. So you have a CRM that is made available to you. You no longer have a separate licensing cost for that and it's built in and integrated like Mario will show briefly towards the end of the webinar directly into the Orion system. You also of course still have access to some of the additional products that are available on the Orion side, we have an OCIO service when it comes to custom indexing, outsource trade desk professional services. Tax management type of of solutions, those are still available through this as an outsourced solution if if applicable. The advantage that this is where you really start to see more of that all in one type solution. And again I, I know all in one's a bit cliche in the industry, but if you think about the acquisitions that have been made across the board for Orion over the last few years, it really does touch on all of the core aspects of a firm's business model. From a prospecting standpoint, you get access to the Redtail CRM, you have access to Redtail speak and Redtail imaging. Mario will touch on all of those briefly, but those are baked and built into the per account price. Under the advantage stack, you have access to all of our core services, reporting, billing, trading, mobile application, client experience, etcetera. And then in addition to that where Connor will spend a few minutes today, you have access to a very robust risk intelligence tool. And Orion compliance oversight tool for the firm that allows you to streamline practices well outside of trying to manage e-mail tracking, you know, system monitoring, sending out notifications for gift and entertainment logs, all of that can be sourced and tracked within one compliance system that is tied back into the Orion platform. And then lastly, of course, you still have access to some of these other key pieces and we won't spend as much time today talking about custom indexing and OCIO services and professional services. But I would recommend if if you're interested in learning about those, let's spend some time together because we'd be happy to, to discuss where those can come into play as part of your practice. Whether it's a small segment of your business, what do you need help with your quarter and billing, or more importantly from a from a maintenance perspective, if you deal with the alternative data space that professional services team can help maintain and upkeep your alternative data so your reporting is accurate. Now we're going to spend a little bit of time from a demoing perspective to show you how this all comes together from the core Orion system to the risk intelligence tool to the compliance aspect and then into Redtail, we'll let Mario kind of wrap up from a demoing perspective. All right. So many of you are existing partners of Orion. You have some familiarity with the system, but I'm guessing that that there's a number of you that may not be utilizing all of the tools within Orion. So I'm going to spend just five or six minutes touching on a few of the key or what we would call core aspects of the platform. And then really where I want to suspend the majority of our time is with Connor and Mario on some of these additional tools that are now included in this advantage stack. Because again, ultimately the idea behind this is to provide true scale to the firm and if your technology is preventing you from scaling. Then there's going to be limitations in you leveraging all of the aspects. I think you've probably seen that in your businesses where you you've not been able to use all of the technology you have access to because you're spending so much time on the back end dealing with data maintenance issues, learning curve issues and other systematic issues that may be preventing you. So for those of you that aren't familiar with Orion, and this would be an example of the home screen in the Orion system, it's a modular platform where you can take different reporting widgets based off who you are at your firm and see the relevant reporting data upfront. Like I mentioned, these are editable. I can move these around, I can adjust the different data points that I want to see, and the same thing will go from a user perspective. Depending who you are at the firm, I might just see my book of business, I might have access to everything. You can structure that however you want within your user roles and privileges. Now there's a couple of key things that I'll touch on. We won't go into detail on all the aspects of the platform we're we're going to touch firstly on the financial planning side of the system because that's one aspect of the stack that's included and available to you is is within the planning module and and what you have access to there. The drive to the different applications within Orion, everything runs from an application based on the left side of your screen. So if I want to go into Orion risk intelligence like Connor's going to talk about in a little bit, I have the application do that. If I'm not in Redtail already, I can click on this Redtail application and I can drive into it. I won't steal Mario's Thunder, but I do want to show you. Speaking of piercing this all together. One of the nice things is as a Redtail user, if this is your CRM system, you do not have to go to multiple spots to access all of your Orion functions that we'll discuss. Right now you can see I'm logged into Redtail. I have all of the full Orion functions and capability wired or framed into the Redtail system, and I can drive those same workflows. I can generate reports, I can go into a client portfolio view, I can go into the trading platform, and I never have to leave the Redtail interface. So then if I need to go to the calendar, if I need to go to a contact at Redtail, I can do that. I'll leave the rest to Mario to kind of discuss and and walk through the Redtail system, but I thought this was a helpful and impactful view to show you. Whereas this integration comes together, we really have kind of an all in one CRM portfolio management risk intelligence tool built in there. So in terms of the financial planning system, a couple of things I'll point out. This financial planning system I would say says it's a hybrid between familiar tools like a money guide and E money. It's a it's a goal based system on the front end or objective based system. But it also has cash flow analysis on the back end and we won't go through all of the details. But one quick item that I thought would be helpful to show you is if we had a new client, let's say it's a prospective client, we'll just say, Sean, test is the name here. I have the ability anytime that I have a prospect or an existing client that I want to work, work through this system to either start directly on the planning side or we can just start by adding financial accounts. If I go down the planning road, one additional feature that's built in here is I have the ability to risk profile out this client. And Orion has a couple unique risk profiling processes that are available within the system today. One of them was designed by Doctor Daniel Crosby called the 3D RTQ. And this is kind of a unique profile. I think this is worth spending just 60 seconds on because it's a it's a unique way to look at risk. Often times we associate risk with just the number, right? It's easy, it's clean, it markets well. But when the market actually starts to go crazy, we start to have some volatility. That number doesn't hold a lot of weight. A 3D risk profile allows us to capture three elements of risk from a particular client capacity, tolerance and composure. And what it will do is it will then provide a risk score thumbed up from those three components where we can take a look and say, well, we understand your the risk tolerance, right. We understand the client's willingness to to or their ability to bear certain risk if their investments go up or down. But do we know their capacity? You know, do we understand based off of their goals and timelines are we really speaking towards a specific goal or objective. This is where this, this particular 3D Risk questionnaire comes into play. So I'm not going to go through all of these steps just for time purposes, but this is something that's included. It's available within our client portal experience and within our planning tool and I would highly recommend taking some time to look through what the risk capacity structure looks like. The other quick thing I'll tell you I want to want to touch on in terms of the planning side. Is once you've started to build out a plan for a client, everything is unified within the client portal in Orion. I have my financial plan, I have my investments. So if I want to jump to a specific investment account, I can pull up performance, I can see metrics, I can see statements, I can I can come to one place, the client and I can access the data relevant to me for a given account, household, etcetera. And I don't have to bounce back and forth between my planning tool. And my investment reporting system to access that data, if I want to go into a financial plan, I can access that right here. If as the firm you're going to make available what if type scenarios I can come in and I can see. Well, you know this client looks pretty good so far in terms of retirement. What if we did make some adjustments? What if we did change our retirement age, what if we changed our distributions or contributions, what if we change our asset allocation? We can start to play around with that and if we apply that in the tool, you know, let's say we added additional savings as an example. If I apply that, it's going to automatically create an action step for the client. Again, we can start to focus more on the plan, applying the plan and living the plan versus all of the hypotheticals. And that tends to be a much more succinct way to have conversations around clients, their objectives and overall financial plan. Do other quick things I'll point out in the portal, there's a document vault that's available from a custodial standpoint. Most of our main custodians have their tax forms, statements, even trade conference in a lot of cases that can automatically funnel to this document vault. Any report that you run in Orion can also be be made available here and sent directly here and then you can share back and forth uploading documentation. So much more time we could spend on this in, in terms of the the client portal and what's available there, certainly something if you're not leveraging it, we can we can share and spend some additional time on. One other thing is we leave this that I will touch on is from a servicing perspective, if you think about the daytoday interaction you have with your clients, you do have a code browse feature that's built in and available as as part of that portal. So if Alan Shepard was online, I could code browse with them. We could then share the same screen and walk through any questions, reports, issues etcetera. In terms of trading, trading somewhere we could spend quite a bit of time on, I'm going to spend a very brief amount of time on it. Our trading platform has expanded quite a bit over the last five or six years. We initially had a system called Tom. It's a very basic rebalancing tool. Now we live in a much more expanded trading platform where you have the ability to trade everything from an entire household down to an individual sleeve within the Eclipse trading platform, which is what you're looking at right now. Eclipse is built to give you actionable items upfront. So if you look on my screen right now, I've just selected a few key filters that I want to see. Things like portfolios that have taxes harvesting opportunities, portfolios that don't have a model assigned if there's any pending trades out there. All of these are filterable items that I could click into. And then from here I can make the specific decisions I need to these clients have taxes, harvesting opportunities, I can come into a trade tool. We can go in now and we can say great, we're going to swap out these losses for an alternative position that and then in turn starts a taxes harvesting clock and we're notified at the end of that that wash sale time frame that we can go back into our targets. So from a workflow perspective, the trading tool is built to give you actionable items up front based off your preferences and then it gives you the ability to trade one. To many to all, when you think about your clients, I can trade everything, I can trade a model, I can trade an individual sleeve and I can manage it to the the the degree I want. The other key thing I'll show you in the system is the way the modeling tool works. Let me give you two or three quick visuals. This would be an example of a very basic model in Orion. It's just one set of securities. Looks like it's a bunch of ETF's equals 100% upper and lower tolerances and I can assign that to clients. Nothing unique about that. You certainly can keep it as as as simplistic as you want. In comparison, I can also do more of a what we would call an aggregate model. So instead of having one bucket here, I might have, let's say instead of value stocks, this is my equities, fixed income, etcetera. I can aggregate those together into one model structure and then I can assign that to clients. The benefit behind that is now I have more of a plug and play system. Maybe I don't want to trade everything here, I just want to rebalance the equity or the value stocks. Well, gives me the ability to run a focus rebalance and I can produce trades relative to that particular area. The more granular you make your model and I'll give you one additional example here, the more trading flexibility you have. So here's where you're starting to get into a models of models approach or a multilevel model. And again the, the purpose of this is a plug and play. This blue equity submodel could be used in multiple model capacities at a different percentage. I can also trade just the equity model or just the domestic growth or or any other portion. So you have a very flexible granular modeling system or you can keep it as straightforward as you want like that first example, last piece I'll mention from the trading side and then like I said, this is something where we certainly could spend quite a bit of time on and we could talk through with the firm. But in terms of the execution with most of your main custodians, we have what we call a fixed connection or a straight through process. So when I produce orders like you see here, let's take Jackson Beach's orders as an example. When I'm ready to process these, I can submit these through the system will automatically block up my equities and ETF's, and then I can execute that block directly at the custodian via fixed connection. So I don't have to produce a trade file, I don't have to upload anything at the custodian. That's that system. As long as it's a custodian that has a fixed connection, I can send those through, execute them, and then they will sit in this pending queue if you look on the left side of my screen. Until the next day's downloads. So a very efficient trading platform and and really the biggest key is the ability to trade at scale whether you're trading 10 accounts or 10,000 accounts you have some function there. Last two things I'll mention then we'll get we'll we'll spend some time with Connor is just related to the reporting and billing. We won't go into detail there. Two things I'll mention is if you're not using it already today from an onscreen perspective up at the top of your screen if you search any clients it's going to pull up all the reporting data you could ever need right on screen. So I just searched for Alan Louis Shepherd. I'm looking at the household, but if I wanted to just look at the joint account click at the top left and now I can look at Values, performance Holdings, activity summary, allocation details, trade activity, etcetera, all within this portfolio of you scope without having to generate a physical PDF or query out some type of report. This has become a very powerful tool for our existing partners as it gives you insight into what's happening in your client accounts without having to generate one off reporting items. Now I still can generate a report, I can come up with the top, run a report right and whatever specific to your firm you can generate that. But this portfolio view is, is a a critical piece to that. The last piece is from a billing perspective, we won't go through any billing demos. But if you're not using Orion today or not using Orion for billing, I'd highly recommend you take a look at it for for two reasons. One, it's probably the most, if not the most flexible billing tool in the industry over over years and years of of feedback confirms we built an incredibly expansive billing tool that allows you to handle everything from payout schedules to reoccurring adjustments to exclusions to to everything in between the financial planning fees, etcetera. And so these billing modules here, this billing audit app and the bill generator tool, this gives you the ability to come in. I can see if I have any issues in terms of cash funding. When I run a bill, I can go through a process to make sure everything from a billing perspective is set up. You can see on the screen here you have your audit checks. So if we have any billing issues, any errors, I can catch all of that up front. And then we'll produce a fee schedule that you can send to the main custodians, you can send electronically or you can download that that fee file to upload at the custodian side. So if you're not billing through Orion and you're using the system today, I would highly recommend taking a look at that. So I know like I mentioned, for time purposes we don't have the ability to go into details of every aspect of the system. I thought it would be helpful to touch briefing on a few of those items. Now what I want to do is I want to bring in Connor and I want him to touch on two critical pieces. One is our risk intelligence tool and then the other is our compliance tool. Well, Sean, I appreciate you taking the time to walk them through that. Like he said, my name is Connor McDonald. I am BP of product sales here at Orion covering the West and central territories. And for my portion of this webinar, I'm going to spend some time covering the Orion Risk intelligence tool as well as the Orion compliance tool and some of the core functionality behind those platforms as well. So I'll go ahead, I'll jump into this risk intelligence tool and walk you through that. All right, guys. So taking a look at the core or at the Orion Risk intelligence tool, it's really going to operate in a couple of different ways here. One being from that prospecting standpoint to where you know, when we are meeting with these prospective clients, we're able to better assess what their risk tolerance score is as well as getting those holdings in there to where we can work through this workflow to then produce our recommendations for them. When we're having these conversations here, so again if it's an existing Orion client, you know, we're already going to do the work to pull in those client accounts holdings, you know, directly in the system here. But again, first step is going to be to actually assess that risk tolerance questionnaire. And so we have ways in which we can do it, whether it be setting it manually, you know, scheduling out the frequency in which you want to e-mail this risk tolerance questionnaire out to your clients. We're actually taking it with them where again, you know, we are going to take into account the risk capacity score, the risk tolerance score, as well as that risk composure piece which really we've worked hard with Doctor Daniel Crosby to incorporate that composure piece, which really helps us to even further build out that holistic risk tolerance profile the client as far as better assessing their overall risk tolerance. Again with those holdings making it simple to be able to go in here, you know for a prospective client add in there, you know, existing holdings whether it be dollar value, share quantity and be able to get that in there to where really we can then jump into our recommendation piece where again with your models being flowed over into the system here, you know we can jump in and we can look at you know, are we doing it at the household level here or potentially maybe we want to look at setting recommendations, you know, account by account here. And so with these models flowing into the risk intelligence system, you know you guys are going to have the ability to either you know, select one model as a recommendation or you can also get flexible here to where again we can look at, you know, are we keeping any legacy positions for this client. And from there based off all the models flowing to the system, we can really start to target you know what is their holdings risk score today versus what the risk score is coming back for from that. Risk Tolerance Questionnaire and then we can start to get flexible. As far as you know, maybe we're looking at just a 6040 traditional blend for this model to get more closely aligned with that risk score. There really are no parameters in place to how you guys are blending these together. You know, based off what you want that risk score to be when setting that recommendation for the client themselves. From there, once we're able to set that recommendation, then we really get into a lot of the output with the system itself. So whether that be. You know kind of that onscreen presentation. So with the risk profile comparison again pulling up you know what are their holdings today versus that recommended portfolio that we'd want to swap them into. And then again looking at some of these risk metrics, so annualize, return, you know Max drawdown, you know any of these different scenarios that we want to incorporate into this you know onscreen presentation, we certainly have the ability to tie in these from our extensive scenario library. Really with what's top of mind for the client that we want to make sure to incorporate, you know when we're presenting this to the client. Along with that we're also going to do the work and pulling in those Morningstar style boxes. So you can get into you know the geographic breakdown, sector breakdown, start to look at some of those data points here as well. Get into the stress testing portion. You are going to have the ability to again look at these portfolios side by side here and then leverage our stress testing tool to where you can look at you know. What happens if I'm freehand stress testing the S&P drawing down 11% for example, not only how does the portfolio respond to that, but as well as the underlying securities. From there you can also tap into our scenario library, which we're going to roll out a new scenario on a monthly basis. Really with what are the top topics of mind that are circulating the economy right now. So that when you're feeling these questions from your perspective clients or existing clients, you're able to have some further scenarios that you can incorporate into these conversations where again we can look at with any specific scenario you know what are the different outcomes tied to this and they can go in and actually select you know that specific outcome and actually look at these portfolios and how they might respond to that to again further those conversations with your clients from there. So from there another option which you can leverage is going to be our PDF proposal. So again generating that proposal after you've had that conversation with the client, you know, tailoring that with again what are the scenarios we want to incorporate being able to personalize this proposal based off you know what is top of mind for the client. Maybe we don't need to have hypothetical performance history. You know you have that flexibility to be able to take these out, drag them around to really bring to the forefront whatever might be top of mind for the client. From here, those that are using our client experience, so with the document vaults included, we can push these directly into that document vault so you have it readily available going into your next meeting with the client. So I'm going to switch gears. The next core functionality with the system really is going to be around the model management side and model maintenance side. So again with your models flowing in here. You not only can we just jump into like A1 level model for example and start to look at you know any of these risk profile characteristics. So again pulling in the Morningstar style boxes looking at these different risk measures that we need to, but we also do have some model maintenance functionality where you, you guys are going to have the ability to go in and you can leverage what we call as like our model optimizer where essentially what you're able to do is you're going to be able to set you know what is the target risk tolerance. That we want this model to be assigned to. From there, our system can do what we call is optimizing. We can rather than swap out positions from this model, we can readjust the asset allocation here to better mimic what that risk tolerance target is that we're setting for this. Again, you can optimize and that's where you can really start to get into. You're looking at these models side by side, again, getting all those same risk measures that you need to hear. Beyond that, we can also look to take advantage of our hedging wizard as well. Which are hedging Wizards essentially taking any of your models that are flowing into the system and you're really taking it against any of the different scenarios that we have built out into the system to look at. You know if the S&P draws down 10%, you know as our baseline scenario here, you know we're able to start targeting, you know what are some of these positions underneath or within this model itself that might be worse performing. We can actually go in and we can target those individual positions. And look to potentially replace them, you know when we're doing our model maintenance here, so again we can see you know what are the positions we're replacing and then we can tap into what we call as our hedging Screener. We're again this is where you can start to filter out you know what are these potential positions that we want to look at replacing. You know these three identified positions here. So with the asset types you know whether that be just stocks, ETF's, mutual funds or if you want to go more broadly you know you can tap into all of these. And then really you can take it a step further where we're saying, you know, maybe there's a threshold with the expense ratio where we don't want to go above or have an expense ratio above like 1.9% for example. You know, we're able to build that all out into here where then we can run this hedging Screener and get an extensive list of those securities based around that filter that you set out that we could look at potentially replacing inside the system or inside that model itself I should say. I'm going to switch gears one more time really just to show you know this core functionality that we have inside the Orion risk intelligence tool. You know, we've worked hard to actually embed that inside the Orion core ecosystem itself where you know, maybe we want to be working through our Orion, you know, instance here and we want to pull up those same analytics like the risk profile on Brett Indiana Farb at the household level. You know, we're trying to eradicate the swivel chair advisor where you're having to bounce between systems, so being able to access, you know, the risk intelligence profile. Directly inside here if we want to take it to the account level, you know we're certainly able to do that directly inside the system here as well along with any of our stress testing capabilities. So again, living with inside this core Orion ecosystem and running these different stress tests directly out of this platform as well. Not only that, but we will also pull in the same analytics with inside the eclipse trading rebalancing tool that I know Sean was kind of walking you guys through, but again we're going to be able to actually pull in, you know, at this level 1 model. Those same risk profile data points directly inside the system where you can look at, you know, Max drawdown yield and then again having that functionality to actually get in and stress test any of these models. When you're going through, you'll make your model updates or whatever you need to do with your models from there. All right. So guys, you're going to stick with me a little bit longer here. I'm going to switch gears completely and we're going to actually tap into our Orion compliance tool. Which as Sean was alluding to is one of those tools that you would have access to you know under that Orion Advantage stack. So I want to take a little bit of time with you today to actually walk through that core functionality in the system and how your firms can look to leverage you know the operational efficiencies there as well. All right. So we're going to dive into the compliance to a little bit more here and really with our compliance tool we're going to have the three pillars. Of the capabilities with it, one is going to be that employee oversight which I'm going to spend a little bit of time with to begin this. The next being that firm oversight. So whether that be your testing, your campaigns, you know, your form creation, whatever it may be there. And then I'll end with the client oversight piece, which we're really excited about here at Orion, which is really going to be on the end client experience, whether it be shared class reviews, you know, large trader alerts, whatever it may be there being able to tap into those alerts as well. So starting on the employee side, you know this is going to be what any employees or advisors at your firm are going to experience. So you know I said Ryan, we understand that you know, compliance is not going to get these employees out of bed. It's not anything fun that they want to do. So we want to really configure the employee experience to be really simple for them to get in, you know and as an advisor employee at your firm be able to quickly identify what are to do's, you know, when we log in for the day. You know, with this as well, we do have the ability to actually set up direct fees with their personal trading accounts for again on the admin or back end side, you're not having to track any of those transactions, holdings, you know, we're going to be able to pull that all in directly inside the system here. From there we make it very easy for the employees or advisors to get in and submit their trade request. So for example if I want to get in, I want to trade an equity position here you know, type in your ticker, what's your description? Type of trade here as well, share amounts. And then for the advisor employee, any additional comments or files that we want to attach to this trade request instance, you know, they're going to be able to do that all pretty cleanly and neatly here to where they can then submit that over, you know, for review from there. Not only that. We're also going to have, you know, any of those forms that are created on the, you know, CCO admin type role. You know, we're going to make that readily available for the advisors to get in and really identify based off the forms that you're pushing out to them. You know, where do I need to go? You know, so for example, if I've been advertising or marketing requests that I want to make sure is approved, you know, by compliance before I get in and actually send that out, you know, we can get in here as an advisor and quickly identify, you know, based off what's configured on the compliance and what are the questions that need answered. Before I actually send that over for submission and again on the compliance or admin side, you know, we'll work with you to actually configure this in a customizable fashion to really, you know, highlight what are the questions that you guys need answered from your advisors or employees before any of these different requests are submitted. Along with that, you're going to also be able to have your employees submit any guests and entertainment disclosures here and then the compliance team can also set limits on this as well. So if you have. A political contribution limit. For example, you know me as an advisor, I can go in and check am I getting close to that threshold and if for whatever reason I go over it, you know compliance is going to be alerted of that violation here as well. Again with certifications and attestations, you know what are these that are being pushed out to the advisors that need completed. As a compliance officer, you're able to set your due dates on this set your reminders that come through the employee inbox to where? You know, they know that they have to get in, fill this out and again based off what you can figure here with that code of ethics can get in, can fill these all out, can submit it over to compliance review from there. They're also going to be able to log any of their outside business activities here as well. Report incident really is going to be more on that whistleblower. So if there's any incidents, incidences that an employer, advisor, witnesses, you know they can report those here can remain anonymous here as well if they'd like to. And then again, what are the documents that you want readily available to your advisors to tap into? Go to ethics manual, compliance manual, whatever it is you can push out and have that readily available for your advisors or employees to tap into? So I'm going to switch gears here. We're going to go over to the actual compliance officer admin type side where again once those advisors have submitted any of these different requests, you know this is going to be the experience on the admin or you know CCO type side. So again looking at the dashboard here, this is more into the firm oversight piece. You know any of those trade requests that come through, you know any of those preclearance appears appeals form submissions, Oba requests, you know any of those that are being submitted. We're going to be able to consolidate all into the centralized source to where as a CC officer for example, I can get in and look at, you know, I have 6 trade requests that are due today. Let's get in, let's start a review process of these trade requests where again we can look at any of that underlying detail from that submission from the advisor. Again, because we have those direct data feeds, we're going to be able to see their holdings going to be able to see the recent transactions can then neatly log our findings here to where really the system's archiving all this to where you're able to report on, you know, this trade request, a subset of trade requests within the time parameters that you set from a moment's notice here for example, on the trade request here. You know, potentially we might need additional you know, material. Or anything back from the advisor, you know that's where we can look to leverage this dialogue box here we're essentially allows you to communicate with that advisor saying you know hey we might need a little bit additional surrounding information with this trade request anytime to that advisors responding back through that e-mail and we're going to archive all of that directly here for you as well. Another big piece to the firm oversight is going to be testing. So jumping into testing it's really going to be you know how do we check that box. So there's a lot of different tests that firms are wanting to run, you know, whether it be, you know, wanting to scan for alternative assets across the system. You know, we see a big one being e-mail monitoring where again we can configure these tests. We can schedule them to be, you know, scheduled out to be ran. Anytime that we're scheduling these tests to be ran, you know, our calendar's going to update dynamically based off those schedules and who are we assigning to it. So with the e-mail monitoring, you know, what are procedures that are in place when we're running this test. Again, being able to centralize that source of documenting any findings here, adding any additional documentation to this test as well, and then again being able to tap into, you know, our archive of any of these different tests that you have been running, for example, can always filter these out and find the exact test that you're looking for. So if you ever do get like a SEC examination, you know you have a centralized source to be able to tap into any of that when you need to, you know among beyond that as well. You know we're also going to be able to configure any insider trading alerts but I'd like to spend a little bit of time on the risk risk module as well here we're really this is from the firm oversight piece is going to help you guys to actually define you know what are major risk categories at the firm. And then be able to actually build these out to where we can see, you know in this instance of risk assessment for example, we can see as a firm we've identified two major risk categories here, one being books and record, the other being advertising. Here we can get in the weeds as far as setting these different risk levels, whether it's mitigated reputational inherent risk, you can certainly simplify this down to just mitigated versus the actual risk weightings if you want. But again define what are major risk categories here. What are the controls that we have in place to actually help mitigate this risk, whether it be testing or anything like that as well as who are the responsible parties that are actually assigned to help mitigate that risk as well here? And then to finish off on the firm oversight piece, I just want to spend a little bit more time on the campaign piece, which really is going to allow you guys to operate really from a centralized instance of. You know, this could be used for like SEC examination. So if you actually, you know, get that letter, you know, actually having that place to go and actually tap into, you know, when we get a SEC examination, instead of everyone going in a different direction to compile what they need to hear. Being able to live within this instance of the campaign and say, you know, what are our procedures in place when we get this SEC examination. While you're working through that, adding any notes or attachments here as well as designating what are campaign controls here. You know, who is the responsible party to actually, you know, fulfill that control and actually work through that. And then while we're all doing this collectively as a firm being able to monitor and give and provide updates, you know, from any of these different people on where they're at with these control updates. And then again, being able to log any of those findings from that SCC examination here as well. So that's one instance in which how you can as far as how you can use it, you know the other being we have you know firms that might have multiple offices spread throughout the country where they are doing site visits. You know it can also operate in that capacity where again you can build out what are procedures in place with the site visit, any controls that we want to do when we're making these site visits and again log any of your notes and attachments, campaign findings here, control updates. And with any of these different campaigns being able to spit these out and report on them from a moment's notice here as well. And last I'm going to finish on the client oversight piece which we had recently announced at our Ascent Conference. But we really are excited about this where again this is really going to pertain to you know kind of that back end clients, so the clients that your advisors are working with actually tying that piece into the overall compliance offering here as well. So this could be on the preclearance trade request side to where you know you guys can set up policies here where you can designate, you know, maybe we have a restricted list that we want to put in place so that you know when our advisors are getting through and making trades, you know through the eclipse trading rebalancing system for example, you know we want to designate that there is a restricted list and build out that policy here and then again play customize and place your policy to where you know, do we want this restricted list to auto approve, auto reject. You know we can set that for auto reject, can also customize what is that message that's shown to the trader here as well. So that for me as an advisor going to place that trade in Eclipse. You know, if I am trying to trade a security on this restricted list, you know, based off what you customize here, you know this pop up message is going to actually show to them while they're working through their daytoday trading inside the trading rebalancing system. You know, you can also get very flexible here as well so. You know, with the policy coverage here, you know maybe this doesn't apply to all teams. You know you can customize it on the trader level, model level. You can also look at you know, maybe with these accounts maybe we have some high net worth clients that we don't want this restricted list to apply for. You can get very granular and in the weeds as far as you know who do we want these different policies to actually apply to there. Not only that but we know that share class reviews can be a pretty cumber, cumbersome and tedious. Process where you know, there's a lot of Excel spreadsheets and manual work involved here. You know, we try and take a lot of that work off your plate to where our system will ongoing on an ongoing basis actually monitor for potentially cheaper share classes to where we will then alert you guys whether this be configured to only alert the admin or CCO or it could alert your advisors as well to where we can actually get in here and look at, you know we are seeing that we have a potentially cheaper share class here you know, we're able to see. You know how many accounts would be impacted by us recommending a potentially cheaper option here and then if we want to we can get in and actually look at what our system might be recommending here, start to get into some of that fund criteria here as well. So you know whether you want to identify any potential sales load, you know net expense ratio, you know we're going to pull up all these metrics for you here. You know again looking at what are the eligible accounts and we could actually recommend this for any accounts holding that today. And then you guys have the ability to actually create that recommendation that would then send over to your traders in that trading rebalancing tool to actually have that actionable item to then go and place these trades to move these clients into you know this potentially cheaper share class. We're also going to pull in any ownership and large trader alerts. So looking at with ownership 13D and G. A large trader 13 H, your system's going to monitor for that as well to where again do any of those breaches. So again with you know, large trader trades that are more than two million shares or $20 million in a day or 20 million shares, 200,000,000 per month, you know, we can alert you guys of that all within here and then really the risk Monitor piece is going to allow you guys really to configure, you know, what do you want to be alerted of? You know from a compliance perspective, so you know we have a few that are enabled right now sitting in cash for 10 days. So just to show that flexibility, you know that could be sitting in cash for 20 days, right, single security over 25%, could be 10%. You know you guys have the flexibility to configure this based off you know what are you guys identifying as the alerts that you want to be notified of here as well. So I appreciate you guys taking a little bit of time with me to walk through the risk intelligence as well as the compliance tool. So I'm going to turn it over to my colleague, Mario, who can kind of take us home with the Redtail piece. Well, thank you, Connor. My name is Mario Kanius. I'm one of the relationship managers at Redtail technology today. We want to go ahead and focus a little bit about how Redtail and Orion really strive to become the central hub. This allows Redtail to integrate kind of as the fiduciary wheel. Basically with the integrated solutions, you can start your day within Redtail CRM and stay there. As a reminder, we kind of covered a lot. If there's any questions, feel free to go ahead and punch them into the the chat box and then one of us will go ahead and get right back to you. Redtail has five total core products, the CRM being our bread and butter, the next one being our imaging component which will allow you to go towards the paperless office, e-mail hosting and archiving services, Redtail speak. Our compliant text messaging and instant messaging tool and then of course Redtail campaigns, Redtail campaigns is our preapproved compliant marketing tool that's well integrated into both Orion and Redtail Solutions. But for now, let's go ahead and jump into the CRM. So in addition to all the integrated tools that we offer, really the starting point would be prospecting using Redtail CRM. Campaigns, which provides advisors again with that prebuilt marketing campaign tool, which also includes Orion's B52 point, oh the ability to implement workflows for prospecting proposals and client onboarding again. You can also go ahead and plug in other Redtail technology addons like imaging and Redtail. Speak with Redtail Serum and Orion stack. You get the portfolio review right within the CRF system, so go up to the very top of the dashboard. You'll click on the Orion button at the very top. And in your today page in Redtail sedan, this will display Orion portfolio view within Redtail. It's fully navigatable and it's offering the same solutions that you have when you're in within Orion. What's also cool is you can set the above as your default login for Redtail. So as soon as you log in, it'll actually put you right into this Orion dashboard. As you can see on the left hand side, you'll have some of the different options to go ahead and toggle into within the Orion platform. So for example, the Orion planning tool reporting the RMD dashboard. And again, these screens are customizable. If you wanted to go ahead and toggle it, for example, show or display or remove certain applications, toggle the dashboard settings, all configurable right from within Redtail CRM. So again, there's no need to go ahead and log into two applications. You can literally live right in the CRM system and do all your Orion functionality right within the platform. At times integrations can be very minimal. Some my new level of data syncing available but when stacked contact data syncs between CRM and portfolio accounting tools. Now when we click on the contact and then going to the account section. Clicking the Orion portfolio tab over here on the left, we'll actually go ahead and show you the same options as if you were inside of Orion. So again, the individual contacts will display the portfolio summary from Orion as well as all the detailed reporting options accessible from within Orion. So for example, we can come over to the summary, look at allocation performance, again, toggle into planning risk, perform your stress test. All from right within Redtail CRM. So again there's multiple components to the Orion Advisor technology integration. So number one is the account feed. So at the minimum you'll be able to go ahead and go into retail and see accounts fed into Orion from that data feed. Then of course there's the Orion portfolio view. The very next one is going to be the two way synchronization contact data, the new account wizard. So when you come up to the integrations toggle, you'll click on Orion advisor and this will go ahead and bring up the Orion advisor technology tombstone within the integrations tab. So the very first one you'll see is the account wizard. So clicking this will go ahead and bring up that wizard. And again the experience is you'll never have to go ahead and leave Redtail to go ahead and do this account opening as well as the trading platform. The Orion insights and at any time if you want to toggle out of Redtail and go to a full view of Orion, you just simply click the little arrow button which will expand and pop out to the actual full blown web page displaying the Orion tool outside of Redtail. Very next one is reports and you'll see all your custom reports, your saved reports all right from within Redtail. And then last but not least is the Orion Connect. So again what this will do is this will actually go ahead and pop you out into the fullblown working version of Orion. So again, multiple components, trading, billing, accounting can all be stacked to further enhance the integration between the Orion and retail platform. And of course if you have any questions or if you'd like to go ahead and get a fullblown demonstration of how Orion and. Redtail integrate and provide seamless functionality right within the CRM. Definitely feel free to go ahead and contact either Redtail sales or Orion sales and we'll be happy to go ahead and schedule a product demo. Great. Thank you, Mario and thank you Connor and thanks to everybody for joining the webinar. I know it takes some time to go through these things and I also know that we can't get into every aspect of every detail of the system. So if you do have additional interest, if you'd like to learn more about Orion's stacks and how this can be built into your firm and your practice, click on that blue button. You can request a demo. We'd be more than happy to talk with you one-on-one, and we can take a deep dive into any aspects of this system. With that, we'll thank everybody for joining and we'll look forward to being with everybody next time. _1719267549521

Your Exclusive Look at Orion Stacks

Say goodbye to frustrating tech silos and time-consuming disconnected data, and hello to Orion Stacks. You have to see this seamlessly connected tech stack to believe it, so join us for an in-depth demo of the new innovation and capabilities now available from Orion.

From CRM, to Financial Planning, Trading, Risk Intelligence, Compliance, and more; come and see how the Orion Stacks can help you focus on growing and scaling your business.

Bring your questions as our team will be ready to answer them.

0855-OAT-3/27/2023

_1719267549695