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Prospect Contact Results

VIEWS: 130 PAGES: 149

									        Who                               Type      Name                                 Date Discussion                                            Follow
                                                                                         2011                                                       up
ANBTX ANBTX                               Advisor   Eileen Crane - 817-426-8512          8/1 Purchased 12 licenses, ANBTX hire a person to          8/9
                                                                                              input data, Reviewed Calendar, Had issue with
                                                                                              input of phone #’s (Mozilla worked), Suggested
                                                                                              them to try Mozilla and check IE version

Rosenb Rosenbaum Law ERISA Attorney       Attorney Ary Rosenbaum                         8/1   Check out Blog                                       8/9
aum
Law
ERISA
Attorn
ey
Summi Summit Financial Group              BD        Kristina Humphrey                    8/1   Will share with Kristina Humphrey’s boss Casey       8/11
t                                                                                              Dinsmore. They are looking to see what is out
Financi                                                                                        there.
al
Group
         Oppenheimer
Oppenheimer                               BD        Rich Rowehl - (212) 667-4727         8/1   Over sees Retiremanagement                           8/12
         Templeton
Franklin Franklin Templeton               DCIO      Gary Giffen                          8/1   said that he would speak with his boss re: his new   8/16
                                                                                               fiscal year
        Goldberg, Clouse
Goldberg, Glouse & Edgel & Edgell OH      Advisor   Richard Clouse - 614-895-0123 x205   8/1   Asked about non-members                              8/16
        Employee Benefit
Employee Benefit Services Services        Advisor   Chuck Korth                          8/1   Small house, tire kicker                             8/22
        Center for Fiduciary Management
Center for Fiduciary Management           Vendor    Scott Revare                         8/1   Look into partnering                                 9/12
MFS     MFS                               DCIO      Keith Neal                           8/1   Told me to contact Bill Loesch VP Marketing 800-     9/19
                                                                                               343-2829
        Bay Associations
Bay FinancialFinancial Associations       Advisor                                        8/1   Has their own Doc Vault                              CLOSED
        North Pier
North Pier                                          Doug Wood                            8/8   Still working on their web site.                     CLOSED
Thornb Thornburg                          DCIO      Brian Bouchard                       8/9   Tim will set this up with Rocco DiBrunno as we       8/23
urg                                                                                            discussed…Brian Bouchard
John    John Hancock                      DCIO      Gene Huxhold                         8/9   Technology Conference in Chicago on Friday Aug       8/26
Hancoc                                                                                         26 @10:30. Inviting eFiduciary.net to be on the
k                                                                                              panel. It is a go. 4-5 PPT slides & 15 min
                                                                                               presentation
Dietz & Dietz & Lynch                     Advisor   Molly Gage                           8/9   Has not found the time to use eFiduciary.net. She    9/8
Lynch                                                                                          said she would discuss it with Ed Lynch.

        Rosenbaum Law ERISA Attorney      Attorney Ary Rosenbaum                         8/9   Met Ary at a 401k Rekon. Demoed eFidu.               9/8

        John Hancock                      DCIO      Gene Huxhold                         8/10 Invited to Chicago on Friday August 26 for sales      8/26
                                                                                              meeting, Sent email to Gene, Sent 13 slides for a
                                                                                              12-15min presentation
        Who                                   Type      Name                Date Discussion                                              Follow
                                                                            2011                                                         up
        MFS                                   DCIO      Bill Loesch         8/10 Left a voice mail that we will be in Boston on Aug      9/19
                                                                                 17 and would like to meet with him.
CFS     CFS                                   Advisor   Andy Harper         8/10 Has a product like this now and presently not           CLOSED
                                                                                 interested.
        Summit Financial Group                BD        Kristina Humphrey   8/11 Kristina sent me her bosses email and told me to        8/18
                                                                                 email her. At this time I am not interested in a call
                                                                                 about for the demo. Should I wish to get more
                                                                                 information I will contact you.- Kaci

Fiducia Fiduciary Partners Retirement Group   Advisor   Denise Miller       8/11 Did a demo with Ken Jewell & Roger Rovell – (past 8/25
ry                                                                               ERISA attorney) Four man shop and the firm has
Partner                                                                          some large plans. Liked the product very much.
s                                                                                Asked for a educational tools, told them we are
Retire                                                                           working on putting in a resource/educational tab
ment                                                                             in the menu. Sending some screen shots.
Group
Pimco Pimco                                   DCIO      Anne Marie Sutton   8/11 Not the decision maker, but will look at the            8/29
                                                                                 product to contact her boss.
MJM MJM 401k                                  Advisor   Jenna Jacobse       8/11 Still not have done much, asked to get back in          9/5
401k                                                                             Sept.
Northw Northwestern Mutual                    BD        Larry Myrold        8/11 We are still on his list.                               9/5
estern
Mutual


        MFS                                   DCIO      Bill Loesch         8/12 Spoke with Bill (VP Marketing) and he said that he 8/15
                                                                                 would be interested in looking at eFiduciary.net
                                                                                 again
        MFS                                   DCIO      Bill Loesch         8/15 Sent eMail                                         8/29
LPL – LPL – Retirement Benefit Group          Advisor   Larry Deatherage    8/15 Called and left a message                          9/1
Retire
ment
Benefit
Group
         Who                            Type      Name                                 Date Discussion                                         Follow
                                                                                       2011                                                    up
Pensio Pension Consultants                        Brian Allen                          8/15 Sent eMail: Thank you for taking my call. Attached OPEN
n                                                                                           are only a few screen shots of some features of
Consult                                                                                     eFiduciary.net. If you would like to see the
ants                                                                                        additional features, please give me a time and day
                                                                                            that is good for you. I can walk you thru a 30 min
                                                                                            GoTo Meeting demo. This way I can demonstrate
                                                                                            how this web based program can improve your
                                                                                            fiduciary process. mz

Cambri Cambridge Investment Research    BD        Mark Thornton                        8/17 Had breakfast with Mark. Did the demo. He ask         8/29
dge                                                                                         that I send him a price list. He said that he would
Invest                                                                                      put it on the table for review. I think I will also
ment                                                                                        send him some screen shots. Tom asked me to
Resear                                                                                      also contact Colleen Bell in compliance to get her
ch                                                                                          thoughts. Like to later offer a group rate to the
                                                                                            entire Cambridge Brokers.

         Goldberg, Clouse & Edgell OH   Advisor   Richard Clouse - 614-895-0123 x205   8/18 We are still on his to do list.                       9/1
         Oppenheimer                    BD        Rich Rowehl - (212) 667-4727         8/19 We are still on his to do list.                       9/2
Vista    Vista Wealth Management        Advisor   Mike Rogers                          8/19 Did a follow up call per Desi. Spoke with Mike        9/28
Wealth                                                                                      Rogers. Call in 1 month.
Manag
ement


White White Oak Advisors                Advisor   Carin Hansen                         8/19 Mark & Desi, We would like to set up a training       9/30
Oak                                                                                         call/webex for our newest associate, Brian Giles.
                                                                                            He will be the primary user of the eFiduciary
                                                                                            system. Please let me know if something can be
                                                                                            set up one of the following days. August 26,
                                                                                            August 29, August 31. - Carin Hansen

DWS      DWS                            DCIO                                           8/22 Left my name & cell # with a DWS Rep and she said 8/29
                                                                                            someone will be in touch if interested.

       Cambridge Investment Research    BD        Colleen Bell                         8/22 Set up a demo with Colleen                        8/30
Americ American Funds                   DCIO                                           8/22 vendordropbox@capgroup.com - email went out - OPEN
an                                                                                          They will contact me in 30 days. If not, they are
Funds                                                                                       not interested.
        Who                               Type      Name                              Date Discussion                                              Follow
                                                                                      2011                                                         up
Great Great West                          TPA                                         8/22 Filled out a vendor request form on line. - Waiting     OPEN
West                                                                                       to hear from them.
Russell Russell Investments                         Gerry Lillis                      8/22 866-459-4128 Director Manager of Compliance and         OPEN
Invest                                                                                     Operations Review - Left a voice mail.
ments

ING     ING                               TPA                                         8/23 Gave my name and # 110823-20194 - Wait for              8/29
                                                                                           them to call me on my cell.
UBS    UBS                                Advisor   Jonathan Butcher - 502-420-7639   8/23 502-420-7639 Louisville, Kentucky                       9/7
Ask    Ask Kidder                         TPA       Keith Gredys      Bob Miller      8/24 515-306-9468. bmiller@askkidder.com Emailed             8/29
Kidder                                                                                     Setting up a day & time for a demo

Eaton Eaton Vance                         DCIO      David Michaud                     8/24 617-672-8869 Demo 8/30                                  8/30
Vance
The     The Hartford                                Larry Silver                      8/24    He said it’s not for our use, but can see it for the  9/7
Hartfor                                                                                      advisors use for his committees. Talked about
d                                                                                            selling the product to clients at a discount and also
                                                                                             giving it to large clients. He said that he would talk
                                                                                             to the powers to be about looking at this product.
                                                                                             They are going thru a reorganization and asked
                                                                                             that I contact him in 3 weeks.

        Center for Fiduciary Management   Vendor    Scott Revare                      8/24 Made Appointment at Planned Adviser Conference 9/13
                                                                                           - Breakfast 8:00am Sept 13 Tuesday

        John Hancock                      DCIO      Gene Huxhold                      8/26 Presentation in Chicago                              10/21
        Ask Kidder                        TPA       Keith Gredys     Bob Miller       8/29 Demo Wednesday Sept 7, 2011 @ 2:00 CST & 3:00 9/7
                                                                                           EST
         Templeton
Franklin Franklin Templeton               DCIO      Gary Giffen                       8/29 I just want to follow up and see if you’ve been able 9/9
                                                                                           to talk with your boss about eFiduciary.net? I am
                                                                                           going to the PlanAdviser Conference Sept 12-14. If
                                                                                           he is attending, can we set up a time to meet? Just
                                                                                           let me know. Thanks MZ

        MFS                               DCIO      Bill Loesch                       8/29 Just wanted to make sure he got my email. He said 9/19
                                                                                           that he is trying to get some people together.
      Who                             Type   Name                Date Discussion                                               Follow
                                                                 2011                                                          up
      Pimco                           DCIO   Anne Marie Sutton   8/29 Demoed Anne Marie. Said that she will discuss this       9/19
                                                                      with her boss Sean Murry. “Again, Steve Geisert is
                                                                      our representative from PIMCO attending
                                                                      PlanAdviser. I will mention your name to him as
                                                                      well.” - AMS
      Thornburg                       DCIO   Brian Bouchard      8/29 “Thanks for reaching out. Rocco's schedule has           9/19
                                                                      been crazy lately, in addition to having some minor
                                                                      health complications that set him back a bit, so I
                                                                      have not yet spoken with him about a good time to
                                                                      talk. I will be in touch with you shortly, as I expect
                                                                      to speak with him soon about this”. - TH

      ING                             TPA    Benefit Center      8/29 ING Called back giving me the ok to contact them.        10/21
                                                                      Sending out a email ingprocurment@us.ing.com

      DWS                             DCIO   Susan Hartnet       8/29 Called from my email susan.hartnett@dws.com              OPEN
                                                                      Sending a email with pricing & features.

PSA   PSA                                    Jania Stout         8/30 DEMO - On the phone with about 6 people. invited 9/6
                                                                      her Health & Welfare group to listen in. Michael
                                                                      Markovic, Peter, Cindy, Jania and I think 2 others.
                                                                      They liked the product. They have Salesforce. Com.
                                                                      Their present system can not collaborate with the
                                                                      client. Clients can not view documents. Did not
                                                                      discuss price. Asked them to give me an idea as to
                                                                      how many plans they would be looking at. They
                                                                      will meet and Jania asked that I call back next
                                                                      week.

      Cambridge Investment Research   BD     Colleen Bell        8/30 Demo with Colleen. Liked the product. Asked will 9/7
                                                                      it connect thru SMARSH. She said anything that is
                                                                      sent to the client needs to be sent to SMARSH.
                                                                      Tom says these are documents for a committee.
                                                                      Not a contract.
      Eaton Vance                     DCIO   David Michaud       8/30 Demo with Dave & Brandon. They will be at the      9/12
                                                                      show in FL.
      Cambridge Investment Research   BD     Mark Thorton        8/30 Set up conference call with Mark, Tom Z., Colleen, 9/20
                                                                      Mark Z.
        Who                              Type      Name                                 Date Discussion                                           Follow
                                                                                        2011                                                      up
        Pimco                            DCIO      Anne Marie Sutton                    8/30 LEAD: Employee Benefit Systems Inc George            10/3
                                                                                             Christie - (315)432-5522 -6511 Basile Rowe # C,
                                                                                             East Syracuse, New-York 13057

Lawley Lawley Insurance NY                         Jamie Rehak                          8/31 Demo w/ Sean & Desi. Showed eFiduciary.net &         9/9
Courier                                                                                      reporting system. SEAN?


Stoller Stoller Co.                      TPA       Corey Bruce                          8/31 Demo – TPA Record Keeper & Adviser, small plans      9/19
Co.                                                                                          1-2mil / 35-40 plans. Lower market place.- Kurt
                                                                                             Stoller is the owner. Broker Dealer is KMS. 925-
                                                                                             927-5302
       Goldberg, Clouse & Edgell OH      Advisor   Richard Clouse - 614-895-0123 x205   9/1 CALL HIM                                              9/6
LPL -  LPL - Bukaty                                Vince Morris                         9/1 Sent a email.                                         9/12
Bukaty

        LPL – Retirement Benefit Group   Advisor   Larry Deatherage                     9/1   CALL HIM - Can't get thru                          9/28
        Thornburg                        DCIO      Brian Bouchard                       9/2   Demo – 609-267-0025 – Having trouble with GoTo 9/5
                                                                                              Meeting - Did the demo – great review – interested
                                                                                              in pimping it – not buying cause of compliance.
                                                                                              Need to talk to wire houses.
Gordon Gordon Asset Management           Advisor   Greg Rhinehardt                      9/2   Greg said next Tuesday Sept 6 they are going to    9/8
Asset                                                                                         have a meeting discussing eFidu.net. Greg asked
Manag                                                                                         that I follow up with him on September 8th in the
ement                                                                                         AM.


Francis Francis Investments Counsel      Advisor   Clifford Dunteman                    9/2   Demo – has 25 plans avg 75ml – likes the product 9/30
Invest                                                                                        very much, gets it Send $ & screen shots – has a co.
ments                                                                                         meeting Oct 20th -
Counse
l

Cadare Cadaret, Grant & Co.              BD        Marypat Ganley - 315-471-2191        9/2   Had a problem with the demo. Jake is addressing     10/17
t,                                                                                            it. (fixed) She saw the value in the product. She
Grant                                                                                         said they are having a conference coming up and
& Co.                                                                                         will get a group of advisers to talk to about the
                                                                                              advantage of having this. I quoted her $1500 for
                                                                                              adviser license yrly.
        Who                                   Type      Name                                 Date Discussion                                           Follow
                                                                                             2011                                                      up
        Thornburg                             DCIO      Brian Bouchard                       9/5 Bill Collins, my former manager from Merrill Lynch 9/30
                                                                                                  is working at Pershing and he might be interested
                                                                                                  in efiduciary. His email is : wwcollinsjr@gmail.com.
                                                                                                  -Brian Bouchard <bbouchard@thornburg.com>

        Employee Benefit Systems              Advisor   George Christie                      9/6    – 315-432-5522 - George Christie – lead from         9/9
                                                                                                   Pimco -9/6/2011      DEMO
MSSB MSSB Morgan Stanley Smith Barney         WH        Tom Mantych                          9/6   Tom is the Regional Retirement Director from          9/20
Morga                                                                                              MSSB. He asked me to send a reminder email to
n                                                                                                  send me dates for a demo. Sent a email with
Stanley                                                                                            features & screen shots.
Smith
Barney


        Fiduciary Partners Retirement Group   Advisor   Denise Miller                        9/6   They are still interested. They liked the product.    10/3
                                                                                                   They just are trying to decide who to give it to.

        Goldberg, Clouse & Edgell OH          Advisor   Richard Clouse - 614-895-0123 x205   9/6   Still swamped.                                        10/3
        MJM 401k                              Advisor   Jenna Jacobsen                       9/6   Not their yet - Call back in a month Oct 11           10/11
        Northwestern Mutual                   BD        Larry Myrold                         9/6   Touched base. Call back in 2 weeks.                   10/21
        PSA                                             Jania Stout                          9/6   Not exactly what they were looking for. They did      CLOSED
                                                                                                   like the collaboration. They have just purchased
                                                                                                   Sales Force and said that they are going to try and
                                                                                                   make that work.
        UBS                                   Advisor   Jonathan Butcher - 502-420-7639      9/7   Did a demo and he ask that I follow up with him       9/28
                                                                                                   regarding UBS & Mellisa Cowen
        LPL - Retirement Plan Solutions       Advisor   Pam Gasper                           9/7   Not ready very busy. Asked if I would call back.      10/3

        Gordon Asset Management               Advisor   Greg Rhinehardt                      9/9   We had to push our meeting this week.                 10/14
                                                                                                   Unfortunately I don’t have a good time frame to
                                                                                                   give you. I will ask for your continued patience
                                                                                                   with us on this. Why don’t you try me in a month
                                                                                                   and if I’m able to get with Joe sooner, I will give
                                                                                                   you a call. -GR

        Ask Kidder                            TPA       Keith Gredys     Bob Miller          9/12 Met at the show PlanAdviser 2011 Orlando FL            10/3
Stifel Stifel Nicolaus                        BD        Mary Claire Voss                     9/12 Met at the show PlanAdviser 2011 Orlando FL            10/5
Nicolau
s
        Who                            Type      Name                                 Date Discussion                                           Follow
                                                                                      2011                                                      up
         Eaton Vance                   DCIO      David Michaud                        9/12 Met at the show PlanAdviser 2011 Orlando FL          CLOSED
Invest Investment Solutions            Advisor   Jerome Pfeffer                       9/12 Met at the show PlanAdviser 2011 Orlando FL          CLOSED
ment
Solutio
ns
         Financial Advisors
Register Register Financial Advisors   Advisor   Robert Nix                           9/12 Met at the show PlanAdviser 2011 Orlando FL - Has CLOSED
                                                                                           seen demo.
Allianz Allianz Global                 DCIO      Stacy Lawn                           9/12 Met at the show PlanAdviser 2011 Orlando FL       OPEN
Global

AscensusAscensus                                 Kathleen Endres                      9/12                                                    Missed
                                                                                             Kathleen.Endres@Ascensus.com – 443-326-0557 cellOPEN PlanAdviser 2011
        LPL - Bukaty                   Advisor   Vince Morris                         9/12   Met at the show - did a demo                    OPEN
        Oppenheimer Funds, Inc.
Oppenheimer Funds, Inc.                DCIO      Megan Rosenblum                      9/12   Met at the show PlanAdviser 2011 Orlando FL     OPEN
The     The Standard                   DCIO      James Roche –               Angela   9/12   Met at the show PlanAdviser 2011 Orlando FL     OPEN
Standa                                           Yocom
rd
Fiducia Fiduciary Consulting Group     Advisor   Larry Crocker                        9/13 Demo                                                 9/15
ry
Consult
ing
Group
        UBS                            WH        Melissa Cowan - 201-352-3826         9/13 Sat with her at PANC . She suggested we contact      9/16
                                                                                           FINRA. Also met with Andrew Gorman Director
                                                                                           Head Wealth Planning . We need to talk with her
                                                                                           when about compliance and approaching a DCIO.

        Fiduciary Consulting Group     Advisor   Larry Crocker                        9/15 Sent email, Screen Shots & Pricing                   9/18
        The Hartford                             Larry Silver                         9/15 The person he might want to contact is Tom           10/17
                                                                                           Pappas. He's a Vice President and Director and
                                                                                           could either help him or put him in the right
                                                                                           direction. I don't have an email address for him,
                                                                                           but, his office is with FINRA in Rockville, MD. It
                                                                                           might help him to look on www.finra.org first. LS

MayFlo MayFlower Advisors              Advisor   John Wilcox      Steve Dimitriou     9/15 Met with John at PlanAdviser 2011, sent him a        OPEN
wer                                                                                        email to do another demo. Sent screen shots.
Advisor
s
        Who                                 Type      Name                                Date Discussion                                        Follow
                                                                                          2011                                                   up
        UBS                                 WH        Melissa Cowan - 201-352-3826        9/16 It was a pleasure meeting you. We are in the      9/26
                                                                                               process of getting in touch with FINRA. Would you
                                                                                               like to set up a time and day for another demo?
                                                                                               Just let me know what I can do. MZ

        Fiduciary Consulting Group          Advisor   Larry Crocker                       9/16 Thanks for following up. I will be traveling the next 10/4
                                                                                               couple weeks. Let's plan on a follow call later the
                                                                                               first week of Oct. Talk to you soon. LC Oct 4th

        LPL
LPL - CORP - CORP                           BD        Adam Sokolic                        9/16 It was nice to meet you as well. I think next steps 10/21
                                                                                               from my perspective are to have you guys provide
                                                                                               some answers to the questions I had (Scott had
                                                                                               taken some notes)… not sure we need a call to
                                                                                               discuss them at this point, but if you could shoot
                                                                                               them over via email we can review and take it from
                                                                                               there…
Cedar Cedar Brook Financial                 Advisor   Craig Gabel                         9/19 Demo with Craig. Sent Pricing & Screen Shots, 30 10/3
Brook                                                                                          advisors, 150 plans, Micro plans 1-6 mil, suggested
Financi                                                                                          rd
                                                                                               3 party role
al
        MFS                                 DCIO      Bill Loesch                         9/19 Left a voicemail.                                      10/3
        Oppenheimer                         BD        Rich Rowehl - (212) 667-4727        9/19 Spoke with Jeremy Deleski, 403b 2 is the big           10/3
                                                                                               concern, on their own or to partner?, asked if I
                                                                                               have spoken w/ DCIO’s, told him about FINRA

        LPL – Retirement Benefit Group      Advisor   Larry Deatherage      Gary Joseph   9/19 With Larry Deatherage Super Team Old Prud guys 10/14
                                                                                               Left voice mail. Asked for him to call me back

        Pimco                               DCIO      Anne Marie Sutton                   9/19 All set call back at the end of the year. Not in the   10/18
                                                                                               budget right now.
LPL -   LPL - Moreton Retirement Partners   Advisor   Chad Larsen                         9/19 He is having a meeting with the group next week.       11/14
Moreto
n
Retire
ment
Partner
s
       Who                                 Type      Name                            Date Discussion                                         Follow
                                                                                     2011                                                    up
       Center for Fiduciary Management     Vendor    Scott Revare                    9/20 My recollection of questions from our conversation 9/21
                                                                                          boiled down to: Ability to handle large customers
                                                                                          a. current customer base is 6 customers - would
                                                                                          the software show any strain at higher business
                                                                                          volumes b. How can the software handle hundreds
                                                                                          of firms, many with several advisors, each with
                                                                                          dozens of plans? (from a hierarchical
                                                                                          reporting/storage standpoint) I know you guys
                                                                                          took a lot of notes while Adam was talking
                                                                                          (apparently he thought it was me taking the notes)
                                                                                           I think it would be a good idea to reach out to
                                                                                          Larry and fill him in on the discussions. He is an
                                                                                          influential advisor. I have a call with Adam
                                                                                          tomorrow afternoon. I'll follow up with him on his
                                                                                          interest level. SR


Robins Robinson Asset Management           Advisor   Steve Robinson                  9/20 Requested pricing. Sent it and asked for a demo. - 9/27
on                                                                                        214-295-3213 - Demo Tues Sept 27 1:00pm CST
Asset                                                                                     2:00pm EST
Manag
ement

       DWS                                 DCIO      Ruben Gonzalez                  9/20 Emailed a request for demo to Jennifer Seligson    9/30

MSSB MSSB Greystone Consulting             DCIO      Matt McGlaughlan                9/20 Left a VM. No response yet. I will get intouch with 10/3
Greyst                                                                                    Omar – JP Morgan
one
Consult
ing
        MSSB Morgan Stanley Smith Barney   WH        Matt McGlaughlan   Ed O’Connor 9/20 via Omar @ JP Morgan - Send infor to Scott Ravera 10/7
                                                                                         COMBO DEAL? - Called and left cell phone # to
                                                                                         Matt
        Who                             Type      Name                                Date Discussion                                          Follow
                                                                                      2011                                                     up
      Raymond
Raymond James James                     Advisor   John Bottiglia & Kim                9/20 John contacted me earlier this morning and I did a 10/20
                                                                                           demo with him and his assistant Kim this
                                                                                           afternoon. They heard about us from a John
                                                                                           Hancock rep that was talking about tools. They
                                                                                           said that they do not take minutes as of right now
                                                                                           and that their clients were requesting them. I told
                                                                                           them Mark would follow up with them within a
                                                                                           month. (260)497-7711 Desi

        Cambridge Investment Research   BD        Colleen & Mark                      9/20 Conference Call went well. We both understand     10/21
                                                                                           what we need. We will get back to them as soon as
                                                                                           we have a tool built & implemented. We will be
                                                                                           sitting down with Jake to discuss our needs.

AIG     AIG Advisors Group              BD        Peter Hirsch                        9/20 Our Compliance / Legal teams are still in the         11/16
Advisor                                                                                    process of deciding what and how they are going to
s                                                                                          monitor the ERISA Business going forward, so we
Group                                                                                      have not ready yet to look at tools that can help us
                                                                                           accomplish the procedures. I still have
                                                                                           eFiduciary.net on my short list to put in front of my
                                                                                           teams when they are ready. I appreciate you
                                                                                           reaching out to me and as soon as we are ready to
                                                                                           evaluate further I will let you know. PH

Americ American Century                 DCIO      Al Chingren                         9/20 Emailed a request for demo                           OPEN
an
Centur
y
CPI - CPI - Kansas                      TPA       Jon Prescott                        9/20 jon.prescott@cpiopc.com - Emailed a request for      OPEN
Kansas                                                                                     demo

Sentina Sentinal Benefits               TPA       John Carnevale         Ryan Joyce   9/20 Emailed a request for demo to John Carnevale         OPEN
l
Benefit
s
       Who                               Type     Name            Date Discussion                                           Follow
                                                                  2011                                                      up
       Center for Fiduciary Management   Vendor   Scott Revare    9/21 First of all Tom has spoken to FINRA and we pretty 9/22
                                                                       much know what we have to do to meet
                                                                       compliance. We will be having conversation with
                                                                       our programmer. Handling large customers: I
                                                                       expect that we would role this out by advisor
                                                                       group. Maybe start with the Super Prudential
                                                                       group (Larry Deatherage). Also, if Adam gives a list
                                                                       of order of how he would want to role this out.
                                                                       We will contact our Server farm and talk about
                                                                       band with that we will need.When you rolled out
                                                                       CFFM did you do it all at once? How did you
                                                                       handle it? I am trying to contact Larry. I will give
                                                                       you a call Friday morning will you be available?MZ




Neuber Neuberger Berman                  DCIO     Chris Simmons   9/21 Demo Liked the product. Will discuss it with his  10/20
ger                                                                    team and advisors. Quoted him $1500 per adviser.
Berma                                                                  Suggested a 3rd role for TPA, CPA, Attorney, etc…
n
       Northwestern Mutual               BD       Larry Myrold    9/21 Larry,We are addressing the compliancy issues. I    10/21
                                                                       will be in touch with you when we have the tools
                                                                       implemented. MZ
        Who                               Type      Name                Date Discussion                                             Follow
                                                                        2011                                                        up
        Center for Fiduciary Management   Vendor    Scott Revare        9/22 To tell you the truth, I don't remember how we         10/3
                                                                             rolled LPL out. We already had some bigger
                                                                             implementations (e.g. fidelity advisor - at least they
                                                                             sounded big) and NRP was a startup, adding firms
                                                                             by the month, so we didn't have to start big. But
                                                                             our data base was Oracle and our environment is
                                                                             .NET, like yours, so that is good. The dimensions
                                                                             you should probably address are disk space and
                                                                             number of simultaneous users you can support.
                                                                              Do you have a separate data server from your
                                                                             application server? could you add application or
                                                                             data servers if you needed to(I'm sure the answer
                                                                             is yes). I am literally booked all the way through
                                                                             the end of the
                                                                             day on friday. I'm also booked with a client that is
                                                                             flying in from MetLife all day tomorrow. My
                                                                             conversation with Adam was shortened today, but I
                                                                             talk with him again Friday. I have a lot more time
                                                                             to talk next week. SR




BlackR BlackRock                          DCIO      Esti Buskin         9/22 Replied from email and gave me a time of 11:00am 10/5
ock                                                                          on Oct 5th
Ridge RidgeWorth                          DCIO      Daniella Moiseyev   9/22 Daniella replied to get back to her Nov. 1, 2011 11/1
Worth
       Stoller Co.                        TPA       Corey Bruce         9/23 Sent a email to follow up                        10/3
       MSSB Morgan Stanley Smith Barney   WH        Tom Mantych         9/23 Brian Bouchard from Thornburg gave TZ #Tom       10/7
                                                                             Mantych 847-224-3556 MSSB. I called Tom M. and
                                                                             he gave me a name at MSSB Bret Kobler – 914-225-
                                                                             6329 & Pat Rieck -443-315-9743

RBC     RBC                                         Bobby Leach         9/23 Bobby contacted me for pricing information. I sent OPEN
                                                                             him the pricing and a list of times to do a demo.
                                                                             DESI Spoke to him briefly on the phone. Left my
                                                                             cell #. Told him to call me when he is ready. MZ

        Francis Investments Counsel       Advisor   Clifford Dunteman   9/26 Called & Emailed                                      9/27
        Halper Financial Group
Halper RawiszerRawiszer Financial Group   Advisor   Susan Thompson      9/26 Demo At 11:00 Oct 4                                   10/5
        Who                              Type      Name                           Date Discussion                                           Follow
                                                                                  2011                                                      up
LPL -   LPL - VA                         Advisor   Tim Gardner                    9/26 A two man shop. Small plans - Call back to Follow    10/10
VA                                                                                     up
        UBS                              WH        Melissa Cowan - 201-352-3826   9/26 We have spoken to FINRA and we are adding an         10/21
                                                                                       extra feature to comply with FINRA. I will contact
                                                                                       you when we have it installed. This may take 2-3
                                                                                       weeks
        Robinson Asset Management        Advisor   Steve Robinson                 9/27 Steve will be having a BD meeting with Williams      10/19
                                                                                       Financial (Oct.12-14)and he said that he would be
                                                                                       mentioning it to them. Call back to follow up

        Francis Investments Counsel      Advisor   Clifford Dunteman              9/27 Not yet. Soon, I will discuss with our team. I will   11/4
                                                                                       keep you posted if we want to take it another step.
                                                                                       CD
        Stone Asset Management
Stone Asset Management                   Advisor   Chris Klinetob                 9/28 Called wanted $ - I told him to call me for a demo 9/29
        Vista Wealth Management          Advisor   Mike Rogers                    9/28 I’m just following up to see if you are interested in 9/29
                                                                                       eFiduciary.net. If you could please give me a call at
                                                                                       781-727-7710 today or tomorrow.

Comm Commonwealth Financial Network      BD        Paul Mahan                     9/28 Sent another email & VM                              10/3
onweal
th
Financi
al
Networ
k
        Raymond James - E&M Consulting
Raymond James - E&M Consulting           Advisor   Brian Mezey                    9/28 did a demo - sent him screen shots and pricing - he 10/11
                                                                                       wanted to get in touch with a few other advisors to
                                                                                       get a group rate - I told him to contact Raymond
                                                                                       James so that we can discuss it with them. He will
                                                                                       call me back.

        Summit Financial Group           BD        Kristina Humphrey              9/28 Sent a email to follow up                            10/24
       Who                               Type      Name                         Date Discussion                                           Follow
                                                                                2011                                                      up
        Ameriprise
Ameriprise                               Advisor   David Shnitzer Branch Mgr.   9/29 Looking for a little help. I have a fiduciary        10/3
                                                                                     management tool designed for advisors to share
                                                                                     with plan sponsors to orgainize committees. If you
                                                                                     (or someone at your branch) handle alot of
                                                                                     retirement pension plans, this may be of interest to
                                                                                     you. I would be glad to show you a 20min demo. If
                                                                                     not, can you direct me to a marketing director of
                                                                                     retirement services at Ameriprise? (name, phone#,
                                                                                     email…) I’m having a lot of broker- dealers show
                                                                                     interest in this and also DCIO’s looking for value
                                                                                     added tools. Any help would be great. MZ


Comm Commonwealth Financial Network      BD        Paul Mahan                                                                           10/4
                                                                                9/29 Mark. Will be in touch next week when I return. Thanks PM
onweal
th
Financi
al
Networ
k
        Stone Asset Management           Advisor   Chris Klinetob               9/29 Did the demo, sent pricing, and screen shots. MZ I 10/14
                                                                                     enjoyed the demo today. I’ll share my notes and
                                                                                     the attached with the Pres. of my company. CK

       Vista Wealth Management           Advisor   Mike Rogers                  9/29 We are passing for the moment but have your          CLOSED
                                                                                     information should we change our mind down the
                                                                                     road.
       DWS                               DCIO      Jennifer Seligson            9/30 Asked for some screen shots. Call back               10/14
       MFS                               DCIO      Bill Loesch                  9/30 Checked in w/ Bill and he said that they are putting 10/28
                                                                                     budgets together and will sit down w/ committees
                                                                                     to see if they want to go our way.

       Center for Fiduciary Management   Vendor    Scott Revare                 10/3 Scott will be talking to LPL Adam and see were we   10/4
                                                                                     stand. Call him tomorrow afternoon.

       Raymond James                     BD        David Drakulich              10/3 Sent email - will be back next week                 10/11
        Who                                   Type      Name                                  Date Discussion                                           Follow
                                                                                              2011                                                      up
        Raymond James                         BD        David Drakulich Sr. Retirement Plan   10/3 I got your name from one of your Advisors. My        10/11
                                                        Consultant                                 name is Mark Zamiara and I represent
                                                                                                   eFiduciary.net. eFiduciary.net is a web based
                                                                                                   software to manage your fiduciary responsibility. It
                                                                                                   was created by advisors for advisors to share with
                                                                                                   the plan sponsor committee. Listed below are
                                                                                                   some of the features of eFiduciary.net. Could I
                                                                                                   have a moment of your time to show you this new
                                                                                                   tool? It would take approximately 20 min. When
                                                                                                   would be a good time for you to look at this?


        MSSB Morgan Stanley Smith Barney      WH        Pat Rieck                             10/3 Thank you for taking the time to take my call.      10/20
                                                                                                   Again, eFiduciary.net is a web based software that
                                                                                                   is to help adviser’s and plan sponsors manage their
                                                                                                   fiduciary responsibility. Call back.

        Oppenheimer                           BD        Rich Rowehl - (212) 667-4727          10/3 Touched base. Call back in 2 weeks. 10/17/2011       10/21
Cedar Cedar Brook Financial                   Advisor   Craig Gabel                           10/3 Left Voice Mail. Told him we do have 3rd party
Brook                                                                                              capabilities.
Financi
al
        Fiduciary Partners Retirement Group   Advisor   Denise Miller                                                                                 11/7
                                                                                              10/4 Call back next month. They are a RIA. Independent no broker dealer.

        Goldberg, Clouse & Edgell OH          Advisor   Richard Clouse - 614-895-0123 x205    10/4 Can't get it together. Not a priority. Call back next 11/7
                                                                                                   month. Broker Dealer - NFP Advisor Services
                                                                                                   Group
        LPL - Retirement Plan Solutions       Advisor   Pam Gasper                            10/4 Not ready call back next month. 11/7 BD - LPL         11/7
        Who                               Type      Name                             Date Discussion                                             Follow
                                                                                     2011                                                        up
        Center for Fiduciary Management   Vendor    Scott Revare                     10/4 Just got off the phone with Adam(it was a status
                                                                                          meeting for items I have going with him).
                                                                                          Regarding eFiduciary, he is interested in getting his
                                                                                          questions answered that he asked during the
                                                                                          original meeting. I would recommend you put
                                                                                          something together as soon as possible in an email
                                                                                          that hits the main questions with some answers
                                                                                          and then ask if he has any more questions. I
                                                                                          remember them being around size, capability to
                                                                                          handle large volumes, finra approval, and your
                                                                                          company size. He also said his plate is full this year
                                                                                          for new development, so he wants to revisit next
                                                                                          year. In your email covering the above, I would
                                                                                          also ask him again about when is a good time to
                                                                                          follow up. So I would classify his current interest as
                                                                                          being on the lower side for now. It may take
                                                                                          getting some more advisors to tell him they need
                                                                                          something like this. -Scott




        Stifel Nicolaus                   BD        Mary Claire Voss                 10/5 Emailed request for a demo                           11/4
        BlackRock                         DCIO      Esti Buskin                      10/5 Liked the product. If the BD are interested they are 11/7
                                                                                          interested!
Capital Capital Analyst                   Advisor   Patrick Robison - 213-746-6199   10/5 Interested in the product. To pricey. Gave me        11/7
Analyst                                                                                   name to BD. Waiting for a phone #. Or email.
                                                                                          United Planners

        Ameriprise                        BD        Jeff Dremal                      10/6 612-678-6059                                          10/7
AXA     AXA Adviosrs                      BD        Paul Reed                        10/6 Spoke to Irene                                        10/7
Adviosr
s
Lincoln Lincoln Financial Group           Advisor   Troy Guerrenttee                                                                        10/10
                                                                                     10/6 800-522-2848 / 603-369-9221 cell / troy.guerrette@lfg.com
Financi
al
Group
        Who                              Type      Name                               Date Discussion                                        Follow
                                                                                      2011                                                   up
John   John Hancock - BD                 BD        Michael Enriquez                                                                          10/20
                                                                                      10/6 Contacted and will send me a day and time to meet with him.
Hancoc
k - BD

        MayFlower Advisors               Advisor   John Wilcox      Steve Dimitriou   10/6                                                       10/21
        Oppenheimer Funds, Inc.          DCIO      Megan P. Rosenblum                 10/6 Sent eMail.                                           10/21
Putna   Putnam                           DCIO      Christopher Doucet                 10/6 Emailed Chris.                                        10/21
m
        UBS                              WH        Melissa Cowan - 201-352-3826       10/6 I have done a demo with BlackRock (Esti Buskin)       10/21
                                                                                           and she is very interested. She told me that if you
                                                                                           are interested, then they are interested. Are their
                                                                                           any other questions that you have for us? mz

Valic   Valic                            TPA       Lane Andrew                        10/6 Demo - Checked it out - can't afford it this year - 11/30
                                                                                           will keep it in mind.
       AXA Adviosrs                      BD        David Semmler                      10/7 303-717-9724 Pooped it                              10/10
       Lincoln Financial Group           BD        Bob Mellia - 484-583-1692          10/7 484-583-1692 Call him Troy is giving him a heads up.10/14
United United Planner                    BD        Billy Oliverio - 480-991-0225      10/7 emailed                                             10/14
Planne
r

        Commonwealth Financial Network   BD        Paul Mahan                         10/7 Demoed - wants a proposal! Will send me a date to     10/18
                                                                                           come up and do a demo for his team. He said it is
                                                                                           great timing, planning for 2012.
        Ameriprise                       BD        Daniel Dow                         10/7 612-671-8264                                          10/20
        Ascensus                         DCIO      Charles Wenzel                     10/7 215-648-4815                                          10/20
        Cambridge Investment Research    BD        Colleen & Mark                     10/7 Spoke to Colleen asked her if I could send her a      10/21
                                                                                           proposal.
        ING                              DCIO      Kurtis Cicero                      10/7 212-309-5933                                          10/21
Ivy     Ivy Funds                        DCIO      Jeremy Noland                      10/7 913-236-1449                                          10/21
Funds
        Lincoln Financial Group          BD        Bob Mellia - 484-583-1692          10/10 DEMO!!! Oct 14 2:00pm                                10/14
        AXA Adviosrs                     BD        David Semmler                      10/10 Spoke with David and he said that they use           Closed
                                                                                            Wilshire Assoc. as a 321 & 338
        Raymond James - E&M Consulting   Advisor   Brian Mezey                        10/11 Told me that Raymond James is more advisor           11/11
                                                                                            driven. I asked if he would contact other advisers
                                                                                            to talk up eFidu.
NFP -   NFP                              BD        Dana Rhodes                        10/12 800-880-0080 ext 6751                                10/13
       Who                                    Type      Name                                 Date Discussion                                          Follow
                                                                                             2011                                                     up
NFP - NFP - Halper Rawiszer Financial Group   Advisor   Susan Thompson                       10/12 Demo today, GoTo Meeting did not work for her. 11/4
Halper                                                                                             Sent screen shots. Susan was ok with it. Gave me a
Rawisz                                                                                             name to BD. NFP.
er
Financi
al
Group

       Fiduciary Consulting Group             Advisor   Larry Crocker                        10/12 Left Voice Mail. Told him I was calling to follow up.

       NFP                                    BD        Jeff Cheshier                        10/13 Demo 3:00pm 10/17 Jeff is the man!                 10/17
       Raymond James                          BD        Tom J. Harrington                    10/13 Spoke with Tom Harrington. Not really interested . 10/20
                                                                                                   Send the info. And he will look at it.

Pensio Pension Resource Institute             Attorney Jason Roberts - 310-210-1679          10/13 Demo on Oct 24 @11:00 am. This is very
n                                                                                                  important. Jason is a attorney on the west coast
Resour                                                                                             and use to work for Fred Reish. He was very
ce                                                                                                 interested in our product. Jason also has a retired
Institut                                                                                           FINRA employee on staff.
e
         Lincoln Financial Group              BD        Bob Mellia - 484-583-1692            10/14 Demo with Bob. Wants me to contact him after we 10/24
                                                                                                   speak with Jason Roberts on 10/24/11.

       Fiduciary Consulting Group             Advisor   Larry Crocker                        10/14 In the middle of a project for the next couple     11/2
                                                                                                   weeks. Contact me after the first of Nov and we
                                                                                                   will continue our conversation.
       LPL - CORP                             BD        Adam Sokolic                                                                                  11/15
                                                                                             10/14 Some of the subjects that we discussed at PANC 2011: refer to OneNote
       Cambridge Investment Research          BD        Colleen & Mark                       10/17 Proposal Sent                                      10/21
       Commonwealth Financial Network         BD        Paul Mahan - 781-736-7980 x9969      10/17 Proposal Sent                                      11/3
       NFP                                    BD        Jeff Cheshier                        10/17 Did a demo. Went well. I told him I would send a
                                                                                                   Proposal. Sent.
       NFP                                    BD        Jeff Cheshier                        10/18 I was interested in checking out your website, but 10/19
                                                                                                   it appears to be password protected. Do you have a
                                                                                                   public-facing site with information about the
                                                                                                   company and your services?JC Proposal Sent.

       United Planner                         BD        Billy Oliverio - 480-991-0225        10/18 Demo tomorrow at 4:00pm                                 10/19
       Goldberg, Clouse & Edgell OH           Advisor   Richard Clouse - 614-895-0123 x205   10/18 Notified them that I had conversation with Jeff         11/7
                                                                                                   Cheshier from NFP
        Who                                     Type      Name                                  Date Discussion                                            Follow
                                                                                                2011                                                       up
        NFP - Halper Rawiszer Financial Group   Advisor   Susan Thompson                        10/18 Notified them that I had conversation with Jeff      11/7
                                                                                                      Cheshier from NFP
        Stone Asset Management                  Advisor   Chris Klinetob                        10/18 Spoke to Chris. Not urgent call back in a month      11/18

        NFP                                     BD        Jeff Cheshier                         10/19 Jeff wants to do a demo w/ compliance on Monday 10/24

        Robinson Asset Management               Advisor   Steve Robinson                        10/19 Call back                                              10/24
        United Planner                          BD        Billy Oliverio - 480-991-0225         10/19 Went very well! Aaron is the compliance guy. Love 10/25
                                                                                                      the program! Send a proposal.
        NFP                                     BD        Jeff Cheshier                         10/20 OK, we’re a go for Monday the 24th @ 1:30              10/24
                                                                                                      Central. We’ll be meeting in a conference room, so
                                                                                                      we can call you if that’s ok. If you’d like to get the
                                                                                                      webinar set up and e-mail the arrangements to me,
                                                                                                      I’ll get us logged on from the conference room.
                                                                                                       David Svrcek and Peter Quinones from our
                                                                                                      Advertising & Compliance Group will be joining me.

        Epic
Epic AdvisorsAdvisors                           Advisor   Manny Marques                         10/20   Will do a demo with Spiro                             11/7
        John Hancock - BD                       BD        Michael Enriquez                      10/20   Got Michael to set up a demo                          11/18
        MSSB Morgan Stanley Smith Barney        WH        Pat Rieck                             10/20   Very busy call in DEC.                                12/1
        Neuberger Berman                        DCIO      Chris Simmons                         10/21   sent email to stay in touch.                          11/4
        Oppenheimer                             BD        Rich Rowehl - (212) 667-4727          10/21                                                         11/4
                                                                                                        Touched base. Call back in 2 weeks. 11/4/2011 We are still on the table
        Northwestern Mutual                     BD        Larry Myrold                          10/21   Spoke with Larry and told him that I will stay in     11/8
                                                                                                        touch with him. Asked if he could give me a name
                                                                                                        to a compliance person that would be interested
                                                                                                        in viewing a demo.
        NFP                                     BD        Jeff Cheshier, Peter Quinones, Dave   10/24   Give Peter Quinones a call next week - he is with     11/1
                                                                                                        compliance
        Cambridge Investment Research           BD        Colleen & Mark                        10/25   Having a meeting tomorrow and will discuss the        10/28
                                                                                                        proposal
AFS     AFS                                     Advisor   Alex Assaley                          10/25   Sent email to explain and ask for demo.               10/31
        Cadaret, Grant & Co.                    BD        Marypat Ganley - 315-471-2191         10/25   Very interested Call back next week. Wants to talk 11/1
                                                                                                        to marketing.
        MFS                                     DCIO      Bill Loesch                           10/25   sent email to touch base                              11/1
        Robinson Asset Management               Advisor   Steve Robinson                        10/25   Gave me a contact at William's Barbra Redstone        11/15
                                                                                                        972-661-8700
         Epic Advisors                          Advisor   Manny Marques                         10/26   Call him on Monday                                    10/31
         Asset Consultants
Asset Strategy Strategy Consultants             Advisor   Kent Fitzpatrick                      10/26                                                         11/2
                                                                                                        Sent email. Tried to stir interest. Was one of Matt's boys.
Who                          Type     Name                           Date Discussion                                         Follow
                                                                     2011                                                    up
Raymond James                BD       Tom J. Harrington              10/26 I have forwarded your material on to another      11/22
                                                                           member of my group that handles vendor
                                                                           relationship management. He will contact you if
                                                                           interested TH
Pension Resource Institute   Attorney Jason Roberts - 310-210-1679   10/31 Set up a demo on Thursday Nov 3                   11/3
        Who                              Type      Name                              Date Discussion                                         Follow
                                                                                     2011                                                    up
401k 401k Plan Advisors                  Advisor   Tony Krance                       11/1 Demo @10 with 401k                                 11/3
Plan
Advisor
s
Triad Triad Advisors                     BD        Michael Bryan                     11/1 Out til Thursday
Advisor                                                                                                                                      11/3
s
        Ameriprise                       BD        Daniel Dow                        11/1 Set a Demo for Friday                              11/4
        Cadaret, Grant & Co.             BD        Marypat Ganley - 315-471-2191     11/1 Wants to get us on a webcast. Will contact me      11/4
                                                                                          Friday with dates.
        Cadaret, Grant & Co.             BD        Marypat Ganley - 315-471-2191     11/1 Call back Friday November 4th                      11/4
        NFP                              BD        Peter Quinones                    11/1 Set up a appointment to review concerns            11/9
        Epic Advisors                    Advisor   Spiro Theodorakakos               11/2 Demo @11 with Epic Spiro Theodorakakos             11/7
                                                                                          [Stheodorakakos@epic1st.com]
Hardy / Hardy / Reed                     Advisor   Ken Parkinson                     11/2 Sent email. Tried to stir interest. Was one of     11/7
Reed                                                                                      Matt's boys.

       NFP                               BD        Peter Quinones - 512-697-6433     11/2 Review Concerns                                    11/9
Aspect Aspect Wealth                     Advisor   Tim Sinks                         11/2 Sent email. Tried to stir interest. Was one of
Wealth                                                                                    Matt's boys.


        Aspect Wealth                    Advisor   Tim Sinks                         11/2 Questioned. Wasn't this what Matt had?
Corner Cornerstone                       Advisor   Mario Giganti                     11/2 Sent email. Tried to stir interest. Was one of
stone                                                                                     Matt's boys.
Vantag Vantage Retirement Services       Advisor   Vicki Zahand                      11/2 Sent email. Tried to stir interest. Was one of
e                                                                                         Matt's boys.
Retire
ment
Service
s
        Commonwealth Financial Network   BD        Paul Mahan - 781-736-7980 x9969   11/3 Mark. I will be in touch after our national sales   11/10
                                                                                          meeting, which concluded next Monday. Will call
                                                                                          you next week. Thanks PM
        401k Plan Advisors               Advisor   Tony Krance                       11/3 Looking for POS to give to Plan Sponsor. Too Pricey
                                                                                          wants bulk price.
        Pension Resource Institute       Attorney Amy Glynn                          11/3 Did a demo with Sean. Loved the product
        Who                              Type      Name                              Date Discussion                                             Follow
                                                                                     2011                                                        up
        Ameriprise                       BD        Daniel Dow                        11/4 Dan - Dir. Of Retirement, Kurt - Legal, Jason, Will, & 11/8
                                                                                          Dean Kramar Product Development. Sent
                                                                                          Proposal.
        Cadaret, Grant & Co.             BD        Marypat Ganley - 315-471-2191     11/4 Will sit down with marketing group on Monday and 11/11
                                                                                          they will contact me. They want to get use in a
                                                                                          web cast to their people.
        Oppenheimer                      BD        Rich Rowehl - (212) 667-4727                                                                  12/4
                                                                                     11/4 Rich spoke to Jeremy and they are waiting for the outcome of 403b 2.
        Hardy / Reed                     Advisor   Ken Parkinson                     11/7 Demo tomorrow.                                         11/8
        Lincoln Financial Group          BD        Bob Mellia - 484-583-1692         11/7 Sent proposal Call Thursday @ 8:30am.                  11/10
        Cambridge Investment Research    BD        Colleen & Mark                    11/7 Having a meeting Wednesday and will discuss the 11/14
                                                                                          proposal. Call back 11/14
        United Planner                   BD        Billy Oliverio - 480-991-0225     11/7 Billy is having a meeting with the execs. On           11/21
                                                                                          Wednesday. Two things he asked . Two things he
                                                                                          asked . 1. Who will handle the billing? A.them B.
                                                                                          Us via Paypal. 2. Is there anything in this for us?

        Epic Advisors                    Advisor   Spiro Theodorakakos               11/7 Spio's and Manny are TPA's. They can be            11/28
                                                                                          advocates to sell eFiduciary.net. Contact after
                                                                                          Thanksgiving.
        Commonwealth Financial Network   BD        Paul Mahan - 781-736-7980 x9969   11/8 Left a message for Paul that I'm in Roch, NY. Call 11/14
                                                                                          me.
        Cadaret, Grant & Co.             BD        Marypat Ganley - 315-471-2191     11/8 I forwarded your information to Diana Ucchino in 11/16
                                                                                          our marketing department yesterday and she will
                                                                                          be in contact with you. She will probably ask for
                                                                                          another internal demonstration for marketing and
                                                                                          compliance before putting your on the advisor
                                                                                          schedule; but I’m sure she’ll be in touch with you
                                                                                          later this week or early next week.


Strateg Strategic Pensions Services      TPA       Marisa Teller                     11/8 Demo set for November 18 @ 10:00am EST             11/18
ic
Pensio
ns
Service
s
        Northwestern Mutual              BD        Larry Myrold                      11/8 Larry told me that he would get in touch with their 11/23
                                                                                          "Third Party Software Group" Said he would call
                                                                                          me back .
       Who                               Type      Name                              Date Discussion                                          Follow
                                                                                     2011                                                     up
       AIG Advisors Group                BD        Peter Hirsch                      11/8 Spoke with Peter. He said we are still on his list. 12/12
                                                                                          Compliance still does not know what they are going
                                                                                          to do. He has explained eFiduciary.net to them.

       Summit Financial Group            BD        Kaci Dinsmore                     11/8 Not interested at this time.                           2/12
KMS    KMS                               BD        Casey Dougherty                   11/8 Spoke to Casey Dougherty in compliance. He said
                                                                                          that you basically had to contact the advisors first
                                                                                          and then if they were interested they would then
                                                                                          contact KMS to make sure it is compliant.

The    The Retirement Advantage          TPA       Matt Schoneman                    11/8
Retire
ment
Advant
age
Assura Assurance                         Insurer   Julie Larocque -847-463-7196      11/9 Attached are some screen shots and the pricing         11/10
nce                                                                                       matrix. If you start out with 55 + committees I will
                                                                                          give you the Super Enterprise rate of $1500
                                                                                          annually.
Daily Daily Access Corp.                 TPA       Lisa Pettis                       11/9 Sent email to check for interest.                      11/14
Access
Corp.

       Assurance                         Insurer   Julie Larocque -847-463-7196      11/9 Did the demo today. Was looking for added              11/16
                                                                                          features such as benchmarking. Send her pricing.
                                                                                          Has about 55 plans. Below 50mil. Follow up

       NFP                               BD        Peter Quinones - 512-697-6433     11/9 no show                                                        Thank you for listening to
       Commonwealth Financial Network    BD        Paul Mahan - 781-736-7980 x9969   11/10 Will meet with me on Monday Nov 14th                  11/14
                                                                                           @11:00am                                                      Attached are some screen
Indepe Independent Pension Consultants   TPA       Scott McQuillen                   11/10 Sent email                                            11/14
ndent
Pensio
n
Consult
ants
                                                                                                                                                         I will give you a call next w
        Who                        Type      Name                             Date Discussion                                                   Follow
                                                                              2011                                                              up
        Assurance                  Insurer   Julie Larocque -847-463-7196     11/10 Julie, Let’s just say this is not a introductory offer. I   11/17
                                                                                    will hold the price for 2 years and the review it
                                                                                    after that. Fair enough? Thank you for asking and I
                                                                                    will give you a call next week.MZ Yep! That works!
                                                                                    Thanks again! JL                                                     Have a great weekend,
Atessa' Atessa's Benefits          Advisor   Karen Matingou                   11/10 Attached are some screen shots and the pricing              11/24
s                                                                                   matrix. If you start out with 55 + committees I will
Benefit                                                                             give you the Super Enterprise rate of $1500
s                                                                                   annually.
        Lincoln Financial Group    BD        Bob Mellia - 484-583-1692        11/10 I know that we would not be able to consider til            1/4
                                                                                    next year. Let's push til Early 2012. BM

Avonda Avondale                    Advisor   Jordan Sibler                    11/12 Sent eMail Dropping a line.
le
DiMeo DiMeo Schneider              Advisor   Steve Dufault                    11/12 Sent eMail Dropping a line.
Schnei
der

LPL     LPL Morton Retirement      Advisor   Chad Larsen                      11/12 Sent eMail Dropping a line.
Morto
n
Retire
ment
        North Pier                 Advisor   Doug Wood                        11/12 Sent eMail Dropping a line.
Smallw Smallwood Financial         Advisor   Cindy Hodges                     11/12 Sent eMail Dropping a line.
ood
Financi
al
Welch, Welch, Hornsby, & Welch     Advisor   Philip Anderson - 205-949-6052   11/12 Sent eMail Dropping a line.
Hornsb
y, &
Welch

       White Oak Advisors          Advisor   John Masterson - (317)218-1570   11/12 Sent eMail Dropping a line.
Winslo Winslow, Evans, & Crocker   Advisor   Jeff Hall                        11/12 Sent eMail Dropping a line.
w,
Evans,
&
Crocke
r
Who                               Type   Name                              Date Discussion                                              Follow
                                                                           2011                                                         up
Cambridge Investment Research     BD     Mark Thorton                      11/15 eFidu was discussed and will be discussed again        11/21
                                                                                 tomorrow. Check back with Mark
NFP                               BD     Peter Quinones - 512-697-6433     11/15 Spoke to Peter and he said that he had 2 issues: 1:    11/28
                                                                                 Advisors ability to delete items in the document
                                                                                 library and workbin. 2: IM with the client and
                                                                                 advisor. Get back with him when we can review
                                                                                 this again.
UBS                               WH     Melissa Cowan - 201-352-3826      11/15 We have added compliance features to capture           11/29
                                                                                 communication between client & adviser. Would
                                                                                 you like to have conversation about this or is there
                                                                                 anyone on your side that you would want to get a
                                                                                 view of this product to make sure that we meet
                                                                                 your needs? MZ

UBS                               WH     Melissa Cowan - 201-352-3826      11/15 Thanks for the update. I will be out of the office   11/29
                                                                                 until next week. I'll follow up with you when I get
                                                                                 back in terms of setting up a meeting with our legal
                                                                                 and compliance folks. MC

LPL - CORP                        BD     Adam Sokolic                      11/15 I had conversation with Scott Revare in Oct, he told 1/2
                                                                                 me that you plate if pretty full for the rest of the
                                                                                 year. I just want to touch base with you to get an
                                                                                 idea as to when you would want to continue
                                                                                 conversation about eFiduciary.net. Or is there
                                                                                 anyone on your side that you would want to get a
                                                                                 view of this product and make sure that we meet
                                                                                 your needs? MZ

Commonwealth Financial Network    BD     Paul Mahan - 781-736-7980 x9969   11/16 eMail: After our discussion, I contacted Tom and       11/22
                                                                                 Sean, and they suggested that I do a demo for
                                                                                 those that are interested in looking at it. This way I
                                                                                 can quickly show the features of the product and
                                                                                 maybe get some feedback from them when they
                                                                                 view it. Can you set me up with a contact, time and
                                                                                 day? MZ

Ameriprise                        BD     Daniel Dow                        11/16   We are on his list 8th. Contact after Thanksgiving 11/30
LPL - CORP                        BD     Adam Sokolic                      11/16   Why don’t you reach out in mid-January and we can 1/9 where things stand….AS
                                                                                                                                      see
Daily Access Corp.                TPA    Lisa Pettis                       11/17   Will touch back on 11/28 to set up a demo          11/28
Independent Pension Consultants   TPA    Scott McQuillen                   11/17   Set up demo for Nov 29                             11/29
      Who                                Type      Name                                 Date Discussion                                           Follow
                                                                                        2011                                                      up
CPI   CPI                                TPA       Denise Penn                          11/17 Demo on 12-1-2011                                   12/1
      John Hancock - BD                  BD        Michael Enriquez Derenig Kostikian   11/18 Demoed Michael Enriquez and Derenig Kostikian.      12/1
                                                                                              Liked the product wants a proposal. Screen shots,
                                                                                              and any thing else to help them sell it up the
                                                                                              ladder.
      Strategic Pensions Services        TPA       Marisa Teller                        11/18 Demoed Liked the product. 1. Would like to see a    12/19
                                                                                              level for a TPA. 2.Would also like to have a demo
                                                                                              access. 3.Setup. 4.Out Dec 8-15th.

      Commonwealth Financial Network     BD        Paul Mahan - 781-736-7980 x9969      11/21 I think the next step is a demo with my team,      11/28
                                                                                              based upon our discussion last week. Let me put
                                                                                              that together after the holiday.
      Pension Resource Institute         Attorney Jason Roberts - 310-210-1679          11/28 Jason submitted a proposal for FINRA Rep to review.12/1

      Epic Advisors                      Advisor   Spiro Theodorakakos                  11/28 Spio's and Manny are TPA's. They can be            12/12
                                                                                              advocates to sell eFiduciary.net. Contact after
                                                                                              Thanksgiving.
      Northwestern Mutual                BD        Larry Myrold                         11/28 Dripped another call to him.                       12/29
      Independent Pension Consultants    TPA       Scott McQuillen                      11/29 Demoed with Jerri Olson, Dan McQuillen, Scott      All set
                                                                                              McQuillen. These guys have a IRA firm and are a
                                                                                              TPA. They felt that there was no need for them to
                                                                                              use eFiduciary.net. Or have access. They did like
                                                                                              the calendar to corrdinate schedule. It's nice but
                                                                                              not necessary. Finds real value for the advisor.

      Cadaret, Grant & Co.               BD        Diana Ucchino - 315-471-2191         11/30                                                      Proposal
                                                                                                Did a demo. Sent Licsense Agreement, Screen shots,12/13
      UBS                                WH        Melissa Cowan - 201-352-3826         11/30   Get in touch January                              1/2
      MSSB Morgan Stanley Smith Barney   WH        Pat Rieck                            12/2    Set up Demo via Webex on Dec 19                   12/19
      Cambridge Investment Research      BD        Carrie Anderson                      12/5                                                      12/14
                                                                                                ext 1415 Practice Mgmt. Team Sent email. Must set up a demo
Who                                Type      Name                             Date Discussion                                               Follow
                                                                              2011                                                          up
Assurance                          Insurer   Julie Larocque -847-463-7196     12/9 My colleague Jen wants to sit in on the demo that I
                                                                                   sat in on, and our advisor, Rich, may also listen in. It
                                                                                   would probably be beneficial for me to see it again
                                                                                   too (as long as you’re doing the demo for Jen). Can
                                                                                   you send me some days/times that you have
                                                                                   availability to show Jen how the site works? Also, I
                                                                                   noticed the contract said effective 1/1/2012 – I am
                                                                                   thinking that us signing a contract will probably
                                                                                   spill over into the new year with everything else
                                                                                   that we have going at right now. Will signing after
                                                                                   1/1 cause an issue with our pricing agreement?JL


Assurance                          Insurer Julie Larocque -847-463-7196       12/12 Set up demo Dec 14                                     12/14
Pension Resource Institute         Attorney Tom Clough - 913-236-9841         12/12 Did a walk thru demo - return to show compliance       12/20
                                                                                    roles Refer to Tom Clough file
Capital Analyst                    Advisor   Patrick Robison - 213-746-6199   12/13 Set up demo Dec 28                                     12/28
Assurance                          Insurer   Jen Hartley                      12/14
Ameriprise                         BD        Daniel Dow                       12/15 Dan informed me that for 2012 they are not going       2/28
                                                                                    forward with eFiduciary.net. I asked that I stay in
                                                                                    touch with him on our progress with other BD's


Cadaret, Grant & Co.               BD        Diana Ucchino - 315-471-2191     12/16 Call her Friday                                     12/29
MSSB Morgan Stanley Smith Barney   WH        Pat Rieck        Chris Morris    12/19 Too much money. Interesting, saves trees, Flashy, 1/9
                                                                                    neat to share with member, elimiates hard copy
                                                                                    work. Largest analyical tool is 1/2 the $. Tom says
                                                                                    contact Greystone Rep.

Assurance                          Insurer   Julie Larocque -847-463-7196     12/29 12/29 I have been testing out the eFiduciary site,
                                                                                    and I am having a little bit of trouble figuring out
                                                                                    the workbin feature. Can you please call me when
                                                                                    you get the chance? I will be in all day today, but
                                                                                    out of the office tomorrow. JL
Who                              Type      Name                              Date Discussion                                           Follow
                                                                             2011                                                      up
                                                                             1/1
Assurance                        Insurer   Julie Larocque -847-463-7196      1/3 1/3 Thanks – because we would be having clients
                                                                                  reach out directly to eFiduciary for tech support,
                                                                                  can you tell me, what type of support would they
                                                                                  receive? i.e. a call center, etc. Also, if you don’t
                                                                                  mind me asking, how big is eFiduciary, and how big
                                                                                  is your team?JL (Sent Screen Shots of
                                                                                  Compliane)MZ

Cadaret, Grant & Co.             BD        Diana Ucchino - 315-471-2191      1/4   Putting together memo to upper management to 1/18
                                                                                   get approval
ANBTX                            Advisor   Eileen Crane - 817-426-8512       1/4   Jeff Atwell just ordered 10 more lisenses
Assurance                        Insurer   Julie Larocque -847-463-7196      1/4    1/4 For now they would be contacting me or
                                                                                   Desiree Marciano. We are not a very big team.
                                                                                   There is me, Desi (support person) and a code
                                                                                   writer. We are a spin off of a fiduciary consulting
                                                                                   team who created this product for themselves. MZ

Commonwealth Financial Network   BD        Paul Mahan - 781-736-7980 x9969   1/4   Left voicemail message
Capital Analyst                  Advisor   Patrick Robison - 213-746-6199    1/5   Worked a demo, he has signed up and is sending
                                                                                   his license and check of $1650 Julie
Assurance                        Insurer   Julie Larocque -847-463-7196      1/6   1/6 I got your email and I tried calling you but I had
                                                                                   trouble with the phone line with a fast busy signal.
                                                                                   I will call you Monday. If you want me to talk with
                                                                                   you BD or their compliance I will. We will be able
                                                                                   to get you in the committee’s as non members. I
                                                                                   understand that you are a big part of Rich’s support
                                                                                   team. As for the pricing, I don’t see any increase in
                                                                                   pricing in the near future. I think you will be safe
                                                                                   for the next 1-2 years. I just want you as a
                                                                                   customer and I will do what ever it takes to support
                                                                                   you and your clients. I just want you to feel
                                                                                   comfortable enough to call me at anytime when
                                                                                   you need help or if you are having any problems.
                                                                                   MZ


                                                                             1/8
Who                             Type      Name                                  Date Discussion                                            Follow
                                                                                2011                                                       up
Cambridge Investment Research   BD        Anne Messer (641)472-5100             1/9 Had a demo with Jim Silvers, Cari Anderson, and        1/23
                                                                                     Anne Messer 1491. Tough to read. Asked good
                                                                                     questions. No emotion. Call back next week.

Lincoln Financial Group         BD        Bob Mellia - 484-583-1692             1/9  he asked that I touch base with him at the end of 1/27
                                                                                     the month. They are still interested in eFidu. He
                                                                                     asked that I send him a brochure and website so
                                                                                     that he could pass this to his Institutional people at
                                                                                     LFN & LFA.
Assurance                       Insurer   Julie Larocque -847-463-7196          1/9 Wanted to make sure there were no price increase.
                                                                                     Can she be CC'ed on Rich's emails?
John Hancock - BD               BD       Michael J. Enriquez - (617) 572-1893   1/9 we are still on his radar
Pension Resource Institute      Attorney Tom Clough - 913-236-9841              1/10 Just spoke with Tom Clough (FINRA guy with             1/28
                                                                                     Pension Resource). He is writing up a comment to
                                                                                     Jason. His only beef was the create, edit, and
                                                                                     delete of documents by the Adviser. I told him our
                                                                                     fix was to remove this from the advisers and only
                                                                                     give it to committee secretary. (I think we still
                                                                                     should continue with that plan) However, he
                                                                                     suggested that the adviser can do the create, edit,
                                                                                     and delete of documents but off the eFidu site. (so
                                                                                     that BD can capture it in his outlook when the
                                                                                     adviser is creating drafts). Tom suggested that only
                                                                                     finished and approved product be sent in the work
                                                                                     bin and deposited in the doc. library. Tom also
                                                                                     said that if you have any questions or comments
                                                                                     about this that he can be reached today at 913-236-
                                                                                     9841. Feel free to discuss this with him or let me
                                                                                     know if you are ok with this and I will tell him to
                                                                                     move forward with his summary.
Who                    Type      Name                             Date Discussion                                          Follow
                                                                  2011                                                     up
LPL - CORP             BD        Adam Sokolic                     1/10 Just want to touch base with you. Hope all is well 2/8
                                                                       with you. We are doing well with eFiduciary.net.
                                                                       We have been talking with a past FINRA District
                                                                       Director and a ERISA Attorney. Per their
                                                                       conversations we think we have this product nailed
                                                                       down for compliance satisfaction. We are in the
                                                                       process of stepping up our website to include video
                                                                       training and FAQ. I hope we are still on your
                                                                       radar. I can imagine that you have been pretty
                                                                       busy, by the news that I’ve been reading about LPL
                                                                       in Investment News. When can I get in touch with
                                                                       you to discuss eFiduciary.net? MZ


Cadaret, Grant & Co.   BD        Diana Ucchino - 315-471-2191     1/11 Do you have another Web site or a brochure that I 1/18
                                                                       can pass along to our Compliance department for
                                                                       review. They would like more details than what is
                                                                       given on your homepage. DU

United Planner         BD        Billy Oliverio - 480-991-0225    1/12 Looking for List of Advisers. Led me on to Marilyn 1/17
                                                                       Blair Account Rep
Capital Analyst        Advisor   Patrick Robison - 213-746-6199   1/12 Left a voice mail to see if i can help Patrick load
                                                                       customers on and looking for the check.
                                                                  1/15
Assurance              Insurer   Julie Larocque -847-463-7196     1/16 Our broker-dealer would like to take a look at
                                                                       eFiduciary.net via a demo site. They do not want a
                                                                       formal demonstration at this time, they just want
                                                                       to be able to see what the product looks like/try
                                                                       the different functions/etc. I am having trouble
                                                                       accessing the original demo site you sent Jen. Can
                                                                       you resend me the demo link and reset the demo
                                                                       password so I can forward this on to Financial
                                                                       Telesis? JL
       Who                                    Type      Name                                  Date Discussion                                             Follow
                                                                                              2011                                                        up
       Assurance                              Insurer   Julie Larocque -847-463-7196          1/16 Sure – it’s Lisa Mays and the email address is
                                                                                                   LisaMays@financialtelesisinc.com. I will send her
                                                                                                   the demo site and let her know that I can set her
                                                                                                   up with a formal demo with you if she has any
                                                                                                   further questions. Will you just send me her log in
                                                                                                   information and I’ll forward it on to her?

Grayst Graystone - 12 Columbia/ GrandRapids   Advisor   Phil Shaffer -614-473-2405 OH         1/17 Sent info to Traci Nickels for her to forward others 1/19
one                                                                                                in the company.
Grayst Graystone - 7 Scherer Group            Advisor   Robert S. Scherer - (301) 279-6400 DC 1/17 Left voicemail message                               1/19
one
       United Planner                         BD        Billy Oliverio - 480-991-0225         1/17 Billy will connect me with a contact person in the 1/23
                                                                                                   office that will talk first and filter out the
                                                                                                   retirement planners. I will have conversation with
                                                                                                   them.
       Commonwealth Financial Network         BD        Paul Mahan - 781-736-7980 x9969       1/17 Thanks for your message. I’d like to hold off on     4/2
                                                                                                   potentially new applications until I roll out and am
                                                                                                   comfortable with our CRM system, which has some
                                                                                                   of the features that efiduciary has. We are in a
                                                                                                   beta environment now and will launch in the next
                                                                                                   few weeks. Once that happens, I’d like some time
                                                                                                   to pass for subscriptions to the infrastructure as              x
                                                                                                   well as feedback across all of its functionality. At
                                                                                                   that point, I’ll have a better feel for how we need
                                                                                                   to enhance our offerings overall. Let’s plan on
                                                                                                   touching base towards the end of March – early
                                                                                                   April.

       Mass Mutual Life - MML                 BD        Jon Shuman - 866-320-3707             1/17    BD -Business Development - left a message for him
                                                                                                     to call me. He knows Tom & Sean. Left message
                                                                                                     with Sec.
Grayst Graystone - 4 East West Group          Advisor   Michael Engel - 202-861-5003 DC       1/18                                                        1/19
one
       Who                             Type      Name                                 Date Discussion                                          Follow
                                                                                      2011                                                     up
Grayst Graystone - 6 Sacramento        Advisor   Mark Chapman - 916-567-2042 CA       1/18                                                     1/19
one
Grayst Graystone - 10 MHC Group MA     Advisor   Matt McLaughlin - (978) 739-3943 MA 1/18 Demo for Wednesday Jan 25th @ 12:00pm                1/25
one
       Cadaret, Grant & Co.            BD        Diana Ucchino - 315-471-2191         1/18 Taking a pass at this time. Felt there were not   2/18
                                                                                           enough Advisers to warrant this plan. Also, would
                                                                                           of liked to seen more broker dealers on this
                                                                                           product. I will stay in touch with her from month
                                                                                           to month.
Grayst Graystone - 5 Mark t. Curtis    Advisor   Gabriel Sanchez -650-496-3987 CA     1/18 Has Corp. Software to handle Fidcuiary needs      Closed
one
Grayst Graystone - 9 Dobbs Group       Advisor   William Craig Dobbs - 317-818-7401 IN 1/19 Please Talk to Seth                                1/23
one
Grayst Graystone - 30 Madison Group    Advisor   Michael Hull - 608-283-2316 WI       1/19 Thank you for reaching out. I don’t think we would X
one                                                                                        be interested in this type of service at this time,
                                                                                           since our team uses a very organized process
                                                                                           already that we do ourselves. Good luck contacting
                                                                                           the other Graystone teams. AN ...Tom,Read below.
                                                                                           I got a reply from this Graystone Rep. Should I
                                                                                           push her to see if she would explain what their
                                                                                           “very organized process” is? MZ...Mark, don’t
                                                                                           bother pushing for more information. We are not
                                                                                           interested. Remove my team from your list. We do
                                                                                           not have a problem getting new business or
                                                                                           retaining it and therefore do not need your
                                                                                           product.


       Mass Mutual Life - MML          BD        Jon Shuman - 978-561-1091            1/20 Set up Demo for Jan 30 @ 4pm                         1/30
                                                                                      1/22
       United Planner                  BD        Billy Oliverio - 480-991-0225        1/23 Marilyn,Per our discussion, please add Mark to you 1/27
                                                                                           Business Solution Providers List (yes, that is a new
                                                                                           acronym for us, the "BSP List") :)

       Cambridge Investment Research   BD        Anne Messer (641)472-5100            1/23 Not interested at this time. Too much due           Closed
                                                                                           diligence . Adviser can go direct.
Grayst Graystone - 3 Peninsula Group   Advisor   Dana Jackson - 650-234-5902 CA       1/23 Has Corp. Software to handle Fidcuiary needs        Closed
one
       Who                           Type      Name                                Date Discussion                                            Follow
                                                                                   2011                                                       up
Grayst Graystone - 9 Dobbs Group     Advisor   Seth Yudes - 317-818-7401 IN        1/23 Not interested. They are dealing with Taft Hartley    Closed
one                                                                                     (unions) and everything is already documented by
                                                                                        council. They generate Minutes, Agenda, Board
                                                                                        Reports.
Grayst Graystone - 10 MHC Group MA   Advisor   Matt McLaughlin - (978) 739-3943 MA 1/25 Product works for him. Didn't see any problem.        2/13
one                                                                                     Not too pricey. He is on the advisery board. Call
                                                                                        him back in 2 weeks. Spoke w/ Pat Reick

       NFP                           BD       Peter Quinones - 512-697-6433           1/25                                                       12/1
                                                                                             Contact Wedneday 12/1/2012 to review changes. Spoke with Jake about it.
       Woodbury Financial Services   BD       George Barker - 800-800-2638 CST        1/25                                                       Closed
                                                                                             Very few in Retirement. Asked advisors not to be fiduciarys
       Investment News                        Davis Janowski’s - 212-210-0179         1/26   djanowski@investmentnews.com                        2/2
       Pension Resource Institute    Attorney Jason Roberts - 310-210-1679            1/26   Said he would get the Tom Clough story to us.       2/9
                                                                                             Wants to talk to Amy about eFiduciary.net. Amy's
                                                                                             sales - Jasoh Compliance. Suggested that if we
                                                                                             were to get on to his platform we could do the BD
                                                                                             Group Discount of $1500 per advisor. Give him a
                                                                                             call in a couple of weeks.

       Woodbury Financial Services   BD        George Barker -800-800-2638            1/26 Not big in the Retirement . Asked Reps can not be Closed
                                                                                           Fiduciaries. I asked him to forward his
                                                                                           independent advisors that are interested to go to
                                                                                           eFiduciary.net
       MetLife                       Attorney Martin Kahan - 212-578-2211 x 4489      1/26 ERISA Attorney Emailed

       NPC                           BD        Melissa Lizotte - 310-899-7900         1/26 VM on Thurs 1/26/2012
       John Hancock - BD             BD        Michael J. Enriquez - (617) 572-1893   1/27 Left VM asking if want to talk with any of their  2/3
                                                                                           Contact Reps.
       MetLife                       BD        Jodi Strakosch - 612-377-1243          1/27 Nat. Dir. Retirement Products Spoke with her. Saw 2/3
                                                                                           no need in eFidu.
       United Planner                BD        Marilyn Blair- 480-991-0225            1/27 Did a demo with Marilyn and she gave me some      2/8
                                                                                           good feed back to start out with the high points.

       VSR Financial Services        BD        Jeffrey McAnarney -(800) 800-3177      1/27 Left VM                                             2/9
       UBS                           WH        Melissa Cowan - 201-352-3826           1/27 She apologized that she and UBS have not gotten 2/23
                                                                                           together with eFidu. She said that she is very busy
                                                                                           on a new role out and she did not mind me
                                                                                           following up with her.
       FI 360                                  Steve Rydzak - 412-221-0292 ext 215    1/27 Meet at the ASPPA Conference March 18-20 │              ?
                                                                                           Morial Convention Center and New Orleans Hilton
                                                                                           & Towers │ New Orleans, LA
Who                        Type   Name                                Date Discussion                                          Follow
                                                                      2011                                                     up
                                                                      1/29
MetLife Securities, LLC.   BD     Geoffrey Ward 800-842-4015          1/30 Sent EMail - I was reading your article from        2/1
                                                                           Planned Adviser Oct. 13, 2011, you mentioned that
                                                                           “There needs to be a prudent process in terms of
                                                                           making decisions. ” We have a tool that addresses
                                                                           the issues of transparency and fiduciary
                                                                           responsiblities. This tool is a process, not just a
                                                                           product. Can I contact you or one of your team
                                                                           members to show you what eFiduciary.net is all
                                                                           about? MZ

Calton & Associates, Inc   BD     Domonic (813) 264-0440              1/30 Call Thurs AM                                           2/8
Mass Mutual Life - MML     BD     Jon Shuman - 978-561-1091           1/30 Jon is going to hook us up with Peter Tzichris 413-     2/15
                                                                           744-0061
Lincoln Financial Group    BD     Bob Mellia - 484-583-1692           1/30 Just touching base. He is rolling out a product. Will   2/29
                                                                           probably be looking at new plans in July. I told him
                                                                           I would still call.
High Tower                 BD     Matthew Camdon - 312-962-3812       1/30 IT guy no thanks Try an advisor                         Closed
NPC                        BD     Melissa Lizotte - 310-899-7900 CA   1/30 She did say that she was not the right person but,
                                                                           Has forwarded my VM to others at NPC. She would
                                                                           not say who.
Mass Mutual Life - MML     BD     Peter Tzichris 413-744-0061         2/1 Chat on Friday @10:00                                    2/3
Calton & Associates, Inc   BD     Domonic (813) 264-0440              2/1 Send Fact Sheet, Contact Info, Price…Dominick,It         2/8
                                                                           was a pleasure speaking with you this morning.
                                                                           Attached is a fact sheet about eFiduciary.net and
                                                                           below is my contact information. As I mentioned
                                                                           on the phone, our price is $1500 per advisor
                                                                           annually. This would allow them unlimited amount
                                                                           of committees per advisor on a annual basis. If you
                                                                           would want to send me a few names and numbers,
                                                                           I would be glad to discuss with some of your
                                                                           advisors the features and benefits of
                                                                           eFiduciary.net. If they are interested I could set up
                                                                           a short webinar to show what eFiduciary.net can
                                                                           do for them. I will give you a quick call next
                                                                           Wednesday.


Oppenheimer                BD     Rich Rowehl - (212) 667-4727        2/1   release of the final 408(b)(2) fee disclosure rule from DOL
JP Turner                  BD     Al Pierantozzi - 404-479-8300       2/2   Left a message for Jim in IT.                          2/3
Who                                Type      Name                                   Date Discussion                                     Follow
                                                                                    2011                                                up
Cabot Money Management             Advisor   Rob Lutts 987-745-9233                 2/2 Left Voice Mail http://www.ecabot.com/index.htm 2/6

Investment News                    News      Whitney Man - 212-210-0451             2/2    Got the pitch from Whitney. Need to discuss with      2/6
                                                                                           Tom
John Hancock - BD                  BD        Michael J. Enriquez - (617) 572-1893   2/3    Ready to go. Will connect me with his legal &         2/6
                                                                                           compliance. Will announce it and then connect
                                                                                           with 50-70 advisors.
NFP                                BD        Peter Quinones - 512-697-6433          2/3    Call went great. Peter was satisfied. He will reach   2/10
                                                                                           out to Jeff and we will try to get together next
                                                                                           Friday.
Mass Mutual Life - MML             BD        Peter Tzichris 413-744-0061            2/3    Set up a demo                                         2/15
Calton & Associates, Inc           BD        Domonic (813) 264-0440                 2/3    Call back in 2 weeks                                  2/21
                                                                                    2/5
Assurance                          Insurer   Julie Larocque -847-463-7196           2/6    Sent a new contract and license agreement             2/13
John Hancock - BD                  BD        Michael J. Enriquez - (617) 572-1893   2/6    Sent Hot point sheet                                  2/15
ClearPoint Financial ME            Advisor   Mike Tuell - 207-217-0859              2/6    Did the demo with Mike. He said that he was too       2/20
                                                                                           small for this, however he gave me Mike Browns
                                                                                           name & # and told me to call him.

Comerica                           Advisor   Mary Jo 734-930-2413 TX                2/7    Spoke w/ Mary Jo and she said the manager was         2/14
                                                                                           out of the office. Sent POS
ClearPoint Financial WA            Advisor   Mike Brown - (206)905-8120             2/7     I’m headed out on vacation next week so please       2/22
                                                                                           feel welcome to ping me after that. MB Call 2-22

LPL - CORP                         BD        Adam Sokolic                           2/8    When can we get together to discuss                   3/8
                                                                                           eFiduciary.net? And can we have conversation with
                                                                                           your compliance? Also, will you be at FI360? Just a
                                                                                           few question on my mind. What’s going on with
                                                                                           you?
The Cap Group                      Advisor   Todd Early - 804.612.1461              2/8    Using Junxure. Will be at a FI360 in April            4/25
VSR Financial Services             BD        Jeffrey McAnarney -(800) 800-3177      2/8     Left Voice Mail
Wealthcare Financial Group, Inc.   Advisor   Martin A. Smith - 240-245-3434         2/10   Demo                                                  2/15
The (k) Group                      Advisor   Jeff Seymour - 770-435-6967 x102       2/10   Demo                                                  2/16
Vanguard Capital                   Advisor   Larry Jones - 760-789-7566             2/10   Send fact Sheet.                                      2/17
Plan Sponsor Consultants           Advisor   Michael Kane - 678-916-3969            2/10   Demo                                                  3/13
      Who                                Type      Name                                    Date Discussion                                         Follow
                                                                                           2011                                                    up
      LPL - CORP                         BD        Adam Sokolic                            2/11 We have a lot going on right now so it’s probably
                                                                                                not a good time to engage in further
                                                                                                conversation. Feel free to reach back out mid year
                                                                                                and we can see where we stand at that time. I will
                                                                                                not be at Fi360, but will be at ASPPA…

                                                                                         2/13
      Lawley Insurance NY                Insurer   Jamie Rehak - (716) 849-8618          2/14 Demo                                                       2/15
      Cabot Money Management             Advisor   Rob Lutts 987-745-9233                2/14 Demo                                                       2/27
      Assure Financial Services -TX      Advisor   Debbie DeWall Matustik - 512-750-2074 2/14 Told me to check with Sean Kelly @ LPL 800-877-
                                                                                              7210 ext 5653
NFP   Beacon Financial Group TX          Advisor   Stephen Engro - 972-726-9888          2/15 email Prospect                                             2/17
NFP   Benefit Planning Services, IL      Advisor   Bruce Hagshenas - 815-397-3737        2/15 email Prospect                                             2/17
      Eminent Wealth Strategies          Advisor   Jordan Brown -317-802-1170            2/15 Demo                                                       2/17
      Goldberg, Clouse & Edgell OH       Advisor   Richard Clouse - 614-895-0123 x205    2/15 I want you to be the first to know that we have            2/17
                                                                                              gotten approval from NFP Corp. to sell to NFP
                                                                                              advisors. I know it has been a while since we have
                                                                                              had conversation, I just want to see if there is still a
                                                                                              interest and to review our NFP group pricing rate.
                                                                                               Can I give you a call and when would be a good
                                                                                              time?
      Goldberg, Clouse & Edgell OH       Advisor   Richard Clouse - 614-895-0123 x205    2/15 Phone call date                                            2/21
      Lawley Insurance NY                Insurer   Tom Englehardt - 716-849-4370         2/15 Demo                                                       2/22
      Mass Mutual Life - MML             BD        Peter Tzichris 413-744-0061           2/15 Peter was great! I did a demo and was very                 2/29
                                                                                              Interested in eFidu. and what it had to offer. He
                                                                                              said that WE will start approaching reps and get
                                                                                              them in to GoTo Meeting. I look forward to
                                                                                              working with this guy! I asked Peter for 1 name for
                                                                                              starters.
      CBIZ                               BD        Luke Baum - (216) 447-9000            2/15 ReSchedule

NFP   NFP - Corp.                        BD        Jeff Cheshire - 512-697-6158            2/15 I was basicly told that I can get intouch and sell to
                                                                                                NFP advisors. Jeff said that he could not give me a
                                                                                                list of names or tell me quanities of Reps. In the
                                                                                                retirement ring. I asked if there were any NFP reps
                                                                                                to the advisors and he said there were none. So I
                                                                                                will be contacting the 4 NFP advisors that i know
                                                                                                and ask for referals.

      Wealthcare Financial Group, Inc.   Advisor   Martin A. Smith - 240-245-3434          2/15 ReSchedule
Who                          Type      Name                                 Date   Discussion                        Follow
                                                                            2011                                     up
Benico IL                    Advisor   John Garven - 847-669-4800 ex 202    2/16   email Prospect                    2/21
Compass Capital Management   Advisor   Thomas Paron - 203-264-8282          2/16   email Prospect                    2/21
Hirsch Associates            Advisor   Susan Mayer Hirsch - 415-837-5408    2/16   email Prospect                    2/21
Lions Bridge Financial       Advisor   Jayne DiVincenzo - 757-599-911       2/16   email Prospect                    2/21
Sikch Financial              Advisor   Diana Jordan 877-279-1900 IL         2/16   email Prospect                    2/21
Sterling Foundation Mgt      Advisor   James Lintott - 703-437-9720         2/16   email Prospect                    2/21
United Planner               BD        Marilyn Blair- 480-991-0225          2/16   Follow up Call on Feb 22 @ 3:00   2/22
Vanguard Capital             Advisor   Larry Jones - 760-789-7566           2/16   Follow up Call on March 8         3/8
Eminent Wealth Strategies    Advisor   Jordan Brown -317-802-1170           2/17   ReSchedule                        2/24
The (K) Group                Advisor   Jeff Seymour - 770-435-6967 ex 104   2/17   Pension Mark Brook Allen
Who                                Type      Name                                   Date Discussion                                          Follow
                                                                                    2011                                                     up
                                                                                    2/19
Sikch Financial                    Advisor   Diana Jordan 877-279-1900 IL           2/21 Spoke with Debbie Admin. Assist.                    2/23
Wealthcare Financial Group, Inc.   Advisor   Martin A. Smith - 240-245-3434         2/21 Set a email to reschedule demo/ not at this time    2/23

Compass Capital Management         Advisor   Thomas Paron - 203-264-8282            2/21 Does not answer the phone. Followr up with          3/6
                                                                                         another email.
Graystone - 10 MHC Group MA        Advisor   Matt McLaughlin - (978) 739-3909       2/21 Call back in 2 weeks                                3/6
John Hancock                       BD        Michael J. Enriquez - (617) 572-1893   2/21 Call back in 2 weeks                                3/6

Oppenheimer                        BD        Rich Rowehl - (212) 667-4727           2/21 On Vacation                                         3/6
Assurance IL                       Advisor   Julie LaRoque - 847-463-7196           2/21 Meeting with Rich tomorrow will button this up by   ??????
                                                                                         the end of the week.
Goldberg, Clouse & Edgell OH       Advisor   Richard Clouse - 614-895-0123 x205     2/21 Rich wants eFidu. I sent him the paper work.
Lawley Insurance NY                Insurer   Tom Englehardt - 716-849-4370          2/22 Also w/ Corrie Swartz                               2/28
Chadwick Financial NJ              Advisor   Frank Sweetin - 973-520-8980           2/22 Set up a demo                                       2/29
United Planner                     BD        Marilyn Blair- 480-991-0225            2/22 Needs News Releases & PPT presentation              2/29
Pension Mark                       Advisor   Brooks Allen - 805-456-6266            2/22 Did demo and said that they have half of these      3/5
                                                                                         features. Will explain this to Troy founder

Capital Analyst                    Advisor   Patrick Robison - 213-746-6199         2/22 Checked w/ Julie all is well                        3/7
White Oak Advisors                 Advisor   John Masterson - (317)218-1570         2/22 SENT Refreshed update info on eFiduciary.net        3/7

Plan Sponsor Consultants           Advisor   Michael Kane - 678-916-3969            2/22 ReScheduled                                         3/15
Halper Rawiszer Financial Group    Advisor   Susan Thompson - 203-226-0763 X20      2/22 SENT Refreshed update info on eFiduciary.net        3/22

Calton & Associates, Inc           BD        Domonic (813) 264-0440                 2/22 Touched Base with him.                              3/28
Wealthcare Financial Group, Inc.   Advisor   Martin A. Smith - 240-245-3434         2/22 Pass for now. Revisit in June                       6/1
ClearPoint Financial WA            Advisor   Mike Brown - (206)905-8120             2/22 Going back and forth with email                     ??????
Goldberg, Clouse & Edgell OH       Advisor   Richard Clouse - 614-895-0123 x205     2/22 asking about NFP in the banner                      ??????
John Hancock IL                    DCIO      Gene Huxhold - 630-705-4415            2/23 reach out to him                                    2/24
ANBTX                              Advisor   Eileen Crane - 817-426-8512            2/23 Discussed Mult Plans in one committee               3/23
ClearPoint Financial WA            Advisor   Mike Brown - (206)905-8120             2/23 Sent email wanting to know who has eFidu. with      closed
                                                                                         LPL. Called him and told him that it is in the
                                                                                         beginning stages with LPL and I am surveying LPL
                                                                                         advisors. Told me to call him when we have it
Eminent Wealth Strategies IA       Advisor   Jordan Brown -317-802-1170             2/24 Rescheduled Demo                                    3/2
ANBTX                              Advisor   Eileen Crane - 817-426-8512            2/24 Suggested a Notification to those that have         3/23
                                                                                         Calendar postings in the future.
Who                                   Type      Name                                 Date   Discussion                                          Follow
                                                                                     2011                                                       up
                                                                                     2/26
eFiduciary.net                                  Jake                                 2/27   Finishing member approval for minutes               2/28
Cabot Money Management                Advisor   Rob Lutts 987-745-9233               2/27   Rescheduled                                         3/2
Capital Fiduciary Advisors VA         Advisor   John H. Wolff - 703-871-5961         2/27   Call Friday AM                                      3/2
Prudent Investor Advisors CA          Advisor   Jeffrey B. Coontz - 707-744-4080     2/27   Sent info Follow up                                 3/2
Capital Advisors -NC                  Advisor   Steven Blair Wilson - 919.865.1930   2/27   Demo                                                3/6
John Hancock IL                       DCIO      Gene Huxhold - 630-705-4415          2/28   Spoke w/ Gene, try to meet up on March 12           3/12
Positive Retirement Outcomes          Advisor   Brian Dillion - 508-242-9912         2/29   Forwarded me to Ron Okeefe                          2/28
Chadwick Financial NJ                 Advisor   Frank Sweetin - 973-520-8980         2/29   Set up a demo                                       2/29     ?
The (K) Group                         Advisor   Jeff Seymour - 770-435-6967 ex 102   2/29   Left a VM for leads & told him about Pension Mark   3/2
                                                                                                                                                         ?
Lawley Insurance NY                   Insurer   Tom Englehardt - 716-849-4370        2/29 Called & left message. Where are we?                  3/6      ?
                                      Advisor
MillenniuM Investment & Retirement Advisors     Danial Jokobovits - 704-617-5333     2/29 Spoke with Danial Jokobovits                          3/6      ?
Cambridge Fiduciary Services AZ       Advisor   Roger L. Levy - 480-735-8200         2/29 Set up a demo - advocate                              3/8
American Portfolios                   OSJ       Stan Alterman - 732-450-0900         2/29 Frank Sweetin told me to talk to his OSJ Stan, Stan   3/8
                                                                                          told me to contact Mellenium & Rochester OSJ
                                                                                          Robert Bartolotta
Positive Retirement Outcomes          Advisor   Ron Okeefe - 508-242-9912            2/29 Likes the product very much, uses Plan Tools,         3/12
                                                                                          Follow back
American Portfolios                   OSJ       Bob Bartolotta - 585-461-6483        3/1 Sent a email to contact him next week                  3/5
New Wealth Advisors                   Advisor   Scott Tuxbury - 978-687-5869         3/1 Call back in 2 weeks                                   3/15
First Allied CA                       BD        Alex Petrenko - 800-336-8842         3/1 Uses Pension Pro Not interested                        closed
Mass Mutual Life - MML                BD        Peter Tzichris 413-744-0061          3/2 emailed                                                3/6
Eminent Wealth Strategies IA          Advisor   Jordan Brown -317-802-1170           3/2 Send License and call back Tuesday                     3/6
United Planner                        BD        Marilyn Blair- 480-991-0225          3/2 Sent Power Point emailed when next meeting?            3/9

Avondale Partners                     Advisor   Steve Glasgow - 615-312-7132         3/2    Set up a demo                                       3/12
Wealth Path Investment Advisors       Advisor   Brent Harless - 405-659-1963         3/2    Call back in Month                                  4/2
Ascent Wealth Management Group        Advisor   Todd White - 650-587-8616            3/2                                                        closed
                                                                                            Uses 401k Advisors RPAG - not interested at this time
Who                                   Type      Name                                 Date   Discussion                                          Follow
                                                                                     2011                                                       up
The (K) Group                         Advisor   Jeff Seymour - 770-435-6967 ex 102   3/2                                                        8-Mar
                                                                                     3/4
Welch, Hornsby, & Welch               Advisor   Philip Anderson - 205-949-6052       3/5    Call Wed AM - refresh                               3/7
John Hancock                          BD        Michael J. Enriquez - (617) 572-1893 3/5    Checked in w/ Michael.                              3/12
Wolf Financial Management             BD        Tunia Mycyk - (630)545-4770          3/5    Will reach out to others & follow up                3/12
The PFE Group                         Advisor   Wayne G. Bogosian - 508-683-1400x205 3/5    Will reach out to others & follow up                3/12
Lawley Insurance NY                   Insurer   Tom Englehardt - 716-849-4370        3/5    Waiting to hear back from Caderate & Grant          3/19
White Oak Advisors                    Advisor   John Masterson - (317)218-1570       3/5    Will reach out to others & follow up                3/19
North Pier Fiduciary Mgnt, CA         Advisor   Brant Griffin-(800)403-7065          3/5    Demo                                                3/20
Northwestern                          BD        Larry Myrold - 414-665-2286          3/5    Status Quo. Stay in touch Monthly                   4/5
Jake                                                                                 3/5    Working on Voting - Workbin re design. Looking to
Fiduciary Consultants, Inc            Advisor   Brian Goding - 314-822-4444          3/5    finish up BD Advisor view. Web site next.
                                                                                            Not an administrator                                Closed
Tuesday                                                                              3/6
UBS                                   WH        Melissa Cowan - 201-352-3826         3/6    Nothing going on. Conference during FI360 week.     5/1
                                                                                            Going to ASPPA
Capital Advisors -NC                  Advisor   Steven Blair Wilson - 919.865.1930   3/6    Demoed follow up Tuesday AM                         3/13
                                      Advisor
MillenniuM Investment & Retirement Advisors     Danial Jokobovits - 704-617-5333     3/6    called said they would get back
Ingham Retirement Group               Advisor   Todd Levy - 305-671-2200 ext 1190    3/6    Spoke to Todd & Sent email to refresh               3/20
Alliance Benefit Group                Advisor   Larry Soloman - 801-486-5069         3/6    Not interested now, gave me a lead John Hopkins     closed
                                                                                            at ABG BD 717-761-4589
Eminent Wealth Strategies IA          Advisor   Jordan Brown -317-802-1170           3/6    Called him Follow up Monday                         3/12
Oppenheimer NY                        BD        Rich Rowehl - (212) 667-4727         3/6    Call him 1:00                                       3/8
American Portfolios                   OSJ       Bob Bartolotta - 585-461-6483        3/6    Liked the product. Not for him.
Wednesday                                                                            3/7
White Oak Advisors                    Advisor   John Masterson - (317)218-1570       3/7    Set up demo for Tues March 20 @ 2:00pm              3/20
American Portfolios NJ                BD        Stan Alterman - 732-922-3361         3/7    Followed up with Stan about my meeting with Bob
                                                                                            Bartolotta.
Mass Mutual Life - MML                BD        Peter Tziachris 413-744-0061         3/7    Peter gave me 3 DCIO's to contact and explain the
                                                                                            value of the product.
Graystone - 10 MHC Group MA           Advisor   Matt McLaughlin - (978) 739-3909     3/7    Left a email
Capital Analyst CA                    Advisor   Patrick Robison - 213-746-6199       3/7    Doing well 14 Clients on his site                   4/8
                                      Advisor
MillenniuM Investment & Retirement Advisors     Danial Jokobovits - 704-617-5333     3/7    Emailed Jim Holland                                 3/9
Chadwick Financial NJ                 Advisor   Frank Sweetin - 973-520-8980         3/7    He wants to check with Stan                         3/21
Gateway Financial Advisors            Advisor   John Maggiacomo - 781-779-1600       3/7    Emailed asking for leads                            3/12


Pension Mark CA                       Advisor   Brooks Allen - 805-456-6266          3/8
Compass Capital Management            Advisor   Thomas Paron - 203-264-8282          3/8
The (K) Group GA                      Advisor   Jeff Seymour - 770-435-6967 ex 102   3/8
Welch, Hornsby, & Welch AL            Advisor   Philip Anderson - 205-949-6052       3/8
Who                                   Type      Name                                Date    Discussion                                       Follow
                                                                                    2011                                                     up
MFS                                   DCIO      Craig McKenna -(617) 954-6901       3/8     CMckenna@MFS.com
Easton Vance                          DCIO      Lauren Loehning                     3/8     LKimball@EatonVance.Com
BlackRock                             DCIO      John Kinsley                        3/8     john.kinsley@blackrock.com
Prudent Investor Advisors CA          Advisor   Jeffrey B. Coontz - 707-744-4080    3/8     Sent info Follow up 0n 3/8
Oppenheimer                           BD        Rich Rowehl - (212) 667-4727        3/8     They are partnering up with those with AIF and   4/8
                                                                                            those with out. No site of a eFidu system yet.


Thursday                                                                            3/8
Cambridge Fiduciary Services AZ       Advisor   Roger L. Levy - 480-735-8200        3/8     Demo
Vanguard Capital CA                   Advisor   Larry Jones - 760-789-7566          3/8     Call him
LPL - CORP                            BD        Adam Sokolic                        4/8
Vanguard Capital                      Advisor   Larry Jones - 760-789-7566          3/8

Friday
                                      Advisor
MillenniuM Investment & Retirement Advisors     Jim Holland - 704-617-5333           3/9
United Planner                        BD        Marilyn Blair- 480-991-0225          3/9
Gordan Asset Management               Advisor   Greg Rhinehardt - (919) 313-6650     3/9    Call after 10 am Refresh.
Diversified Financial Advisors MO     Advisor   John Moynihan - (314) 786-9000       3/9    Call after 1pm Refresh.
                                                                                     3/11
Positive Retirement Outcomes          Advisor   Ron Okeefe - 508-242-9912            3/12
John Hancock IL                       DCIO      Gene Huxhold - 630-705-4415          3/12
Eminent Wealth Strategies IA          Advisor   Jordan Brown -317-802-1170           3/12
Avondale Partners                     Advisor   Steve Glasgow - 615-312-7132         3/12
John Hancock                          BD        Michael J. Enriquez - (617) 572-1893 3/12
Wolf Financial Management             BD        Tunia Mycyk - (630)545-4770          3/12
The PFE Group                         Advisor   Wayne G. Bogosian - 508-683-1400x205 3/12
Plan Sponsor Consultants              Advisor   Michael Kane - 678-916-3969          3/13
New Wealth Advisors                   Advisor   Scott Tuxbury - 978-687-5869         3/15
Plan Sponsor Consultants              Advisor   Michael Kane - 678-916-3969          3/15
New Wealth Advisors                   Advisor   Scott Tuxbury - 978-687-5869         3/15
                                                                                     3/18
Lawley Insurance NY                   Insurer   Jamie Rehak- 716-849-4370            3/19
White Oak Advisors                    Advisor   John Masterson - (317)218-1570       3/20   demo
North Pier Fiduciary Mgnt, CA         Advisor   Brant Griffin-(800)403-7065          3/20   demo
Ingham Retirement Group               Advisor   Todd Levy - 305-671-2200 ext 1190    3/20
Halper Rawiszer Financial Group       Advisor   Susan Thompson - 203-226-0763 X20 3/22
ANBTX                                 Advisor   Eileen Crane - 817-426-8512          3/23
                                                                                     3/25
Calton & Associates, Inc              BD        Domonic (813) 264-0440               3/28
Who                               Type      Name                               Date   Discussion            Follow
                                                                               2011                         up
                                                                               4/1
Capital Analyst CA                Advisor   Patrick Robison - 213-746-6199     4/8
Chadwick Financial NJ             Advisor   Frank Sweetin - 973-520-8980       3/21
Gateway Financial Advisors        Advisor   John Maggiacomo - 781-779-1600     3/12
Oppenheimer                       BD        Rich Rowehl - (212) 667-4727       4/8
Wealth Path Investment Advisors   Advisor   Brent Harless - 405-659-1963       4/2
Cabot Money Management            Advisor   Rob Lutts 987-745-9233             2/27   Rescheduled
Capital Fiduciary Advisors VA     Advisor   John H. Wolff - 703-871-5961       2/27   Call Friday AM
Prudent Investor Advisors CA      Advisor   Jeffrey B. Coontz - 707-744-4080   2/27   Sent info Follow up




Monday
k you for listening to my presentation and conversation about eFiduciary.net yesterday.

hed are some screen shots and the pricing matrix. If you start out with 55 + committees I will give you the Super Enterprise rate of $1500 annually.




give you a call next week.
a great weekend,
401k Plan Advisors
AIG Advisors Group
Ameriprise                        Sent VM
Aspect Wealth
Assurance
Cadaret, Grant & Co.
Cambridge Investment Research
Commonwealth Financial Network
Cornerstone
Daily Access Corp.
Epic Advisors
Hardy / Reed
Independent Pension Consultants   Sent email
KMS                               Sent email
Lincoln Financial Group
NFP -
Northwestern Mutual
Oppenheimer
Pension Resource Institute
Strategic Pensions Services
Summit Financial Group
The Retirement Advantage
Triad Advisors
United Planner
Vantage Retirement Services
Corp                                    Type      Contact
401k Plan Advisors                      Advisor   Tony Krance
AFS                                     Advisor   Alex Assaley
ANBTX                                   Advisor   Eileen Crane
Aspect Wealth                           Advisor   Tim Sinks
Asset Strategy Consultants              Advisor   Kent Fitzpatrick
Avondale                                Advisor   Jordan Sibler
Bay Financial Associations              Advisor
Capital Analyst                         Advisor   Patrick Robinson
Cedar Brook Financial                   Advisor   Craig Gabel
CFS                                     Advisor   Andy Harper
Cornerstone                             Advisor   Mario Giganti
Dietz & Lynch                           Advisor   Molly Gage
DiMeo Schneider                         Advisor   Steve Dufault
Employee Benefit Services               Advisor   Chuck Korth
Employee Benefit Systems                Advisor   George Christie
Epic Advisors                           Advisor   Spiro Theodorakakos
Fiduciary Consulting Group              Advisor   Larry Crocker
Fiduciary Partners Retirement Group     Advisor   Denise Miller
Francis Investments Counsel             Advisor   Clifford Dunteman
Goldberg, Glouse & Edgel                Advisor   Ric Glouse
Gordon Asset Management                 Advisor   Greg Rhinehardt
Hardy / Reed                            Advisor   Ken Parkinson
Investment Solutions                    Advisor   Jerome Pfeffer
LPL - Moreton Retirement Partners       Advisor   Chad Larsen
LPL – Retirement Benefit Group          Advisor   Larry Deatherage        Gary Joseph
LPL - Retirement Plan Solutions         Advisor   Pam Gasper
LPL - VA                                Advisor   Tim Gardner
LPL -Bukaty                             Advisor   Vince Morris
LPL Morton Retirement                   Advisor   Chad Larsen
MayFlower Advisors                      Advisor   John Wilcox        Steve Dimitriou
MJM 401k                                Advisor   Jenna Jacobse
NFP - Halper Rawiszer Financial Group   Advisor   Susan Thompson
North Pier                              Advisor   Doug Wood
Raymond James - E&M Consulting          Advisor   Brian Mezey
Register Financial Advisors             Advisor   Robert Nix
Robinson Asset Management               Advisor   Steve Robinson
Smallwood Financial                     Advisor   Cindy Hodges
Stone Asset Management                  Advisor   Chris Klinetob
UBS                                     Advisor   Jonathan Butcher
Vantage Retirement Services             Advisor   Vicki Zahand
Vista Wealth Management                 Advisor   Mike Rogers
Welch, Hornsby, & Welch                 Advisor   Philip Anderson
White Oak                               Advisor   Carin Hansen
White Oak                               Advisor   John Masterson
Winslow, Evans, & Crocker               Advisor   Jeff Hall
Pension Resource Institute       Attorney   Jason Roberts
Rosenbaum Law ERISA Attorney     Attorney   Ary Rosenbaum


AIG Advisors Group               BD         Peter Hirsch
Ameriprise                       BD         Daniel Dow
AXA Adviosrs                     BD         David Semmler
Cadaret, Grant & Co.             BD         Diana Ucchino
Cambridge Investment Research    BD         Mark Thornton
Commonwealth Financial Network   BD         Paul Mahan
John Hancock - BD                BD         Michael Enriquez Derenig Kostikian
KMS                              BD         Casey Dougherty
Lincoln Financial Group          BD         Bob Mellia
LPL - CORP                       BD         Adam Sokolic
NFP -                            BD         Jeff Cheshier, Peter Quinones, Dave
Northwestern Mutual              BD         Larry Myrold
Oppenheimer                      BD         Rich Rowehl
Raymond James                    BD         Tom J. Harrington
Stifel Nicolaus                  BD         Mary Claire Voss
Triad Advisors                   BD         Michael Bryan
United Planner                   BD         Billy Oliverio


Allianz Global                   DCIO       Stacy Lawn
American Century                 DCIO       Al Chingren
American Funds                   DCIO
Ascensus                         DCIO       Charles Wenzel
BlackRock                        DCIO       Esti Buskin
DWS                              DCIO       Jennifer Seligson
Eaton Vance                      DCIO       David Michaud
Franklin Templeton               DCIO       Gary Giffen
ING                              DCIO       Kurtis Cicero
Ivy Funds                        DCIO       Jeremy Noland
John Hancock                     DCIO       Gene Huxhold
MFS                              DCIO       Bill Loesch
MSSB Greystone Consulting        DCIO       Matt McGlaughlan
Neuberger Berman                 DCIO       Chris Simmons
Oppenheimer Funds, Inc.          DCIO       Megan Rosenblum
Pimco                            DCIO       Anne Marie Sutton
Putnam                           DCIO       Christopher Doucet
RidgeWorth                       DCIO       Daniella Moiseyev
The Standard                     DCIO       James Roche –                Angela
                                            Yocom
Thornburg                        DCIO       Brian Bouchard
Assurance                          Insurer   Julie Larocque


Ask Kidder                         TPA       Keith Gredys      Bob Miller
CPI                                TPA       Denise Penn
Daily Access Corp.                 TPA       Lisa Pettis
Independent Pension Consultants    TPA       Scott McQuillen
ING                                TPA       Benefit Center
Sentinal Benefits                  TPA       John Carnevale      Ryan Joyce
Stoller Co.                        TPA       Corey Bruce
Strategic Pensions Services        TPA       Marisa Teller
The Retirement Advantage           TPA       Matt Schoneman
Valic                              TPA       Lane Andrew


Center for Fiduciary Management    Vendor    Scott Revare
MSSB Morgan Stanley Smith Barney   WH        Pat Rieck
UBS                                WH        Mellisa Cowan


Atessa's Benefits                            Karen Matingou
Lawley Courier                               Jamie Rehak
Pension Consultants                          Brian Allen
PSA                                          Jania Stout
RBC                                          Bobby Leach
Russell Investments                          Gerry Lillis
Summit Financial Group                       Kaci Dinsmore
The Hartford                                 Larry Silver
Great West   TPA



ING          TPA
Rank   Broker-dealer                                No. of reps
1      LPL Financial*                               5432
1      LPL - Associated Securities Corp.            121
1      LPL - Mutual Service Corp.                   547
1      LPL - Waterstone Financial Group             275
2      AIG Advisor Group                            2782
2      AIG Financial Advisors Inc.                  997
2      AIG -FSC Securities Corp.                    753
2      AIG - Royal Alliance                         1032
3      ING Advisors Network                         2412
3      Cetera -Financial Network Investment Corp.   848
3      ING Financial Partners                       672
3      Cetera -Multi-Financial Securities Corp.     398
3      Cetera - Primevest Financial Services Inc.   494
4      AXA Advisors LLC                             2319
5      Raymond James Financial Services Inc.        2316
6      NPH National Planning Holdings Inc.          1423
6      Invest Financial Corp.                       454
6      Investment Centers of America Inc.           172
6      NPC National Planning Corp.                  524
6      SII Investments Inc.                         273
7      Commonwealth Financial Network               1053
8      Northwestern Mutual                          824
9      Advanced Equities Financial Corp.            806
9      FFP Securities Inc.                          386
9      First Allied Securities Inc.                 420
10     Securities America Inc. -Jason Roberts       715
11     Woodbury Financial Services Inc.             681
12     Cambridge Investment Research Inc.           606
13     Wachovia Securities Financial Network        600
14     H.D. Vest Financial Services                 565
15     MML Investors Services Inc.                  557
16     J.P. Turner & Co. LLC                        500
17     Princor Financial Services Corp.             500
18     NFP Securities Inc.                          497
       MetLife Independent Broker/Dealer
19                                                  472
       (Tower Square, Walnut Street)
20     InterSecurities Inc.                         386
21     GunnAllen Financial Inc.                     360
22     Securian Financial Services Inc.             347
23     Next Financial Group                         344
24     Cadaret Grant & Co. Inc.                     331
       John Hancock Financial
25                                                  315
       Network/Signator Investors Inc.
26     Park Avenue Securities LLC                   304
27     The Investment Center Inc.                   300
28     Ameritas Investment Corp.                    276
29   Genworth Financial Securities Corp.              275
30   Crown Capital Securities LP                      244
31   Centaurus Financial Inc.                         240
31   Investors Capital Corp.                          240
33   ProEquities Inc.                                 230
34   QA3 Financial Corp.                              227
35   Geneos Wealth Management Inc.                    210
36   Sigma Financial Corp.                            210
37   Capital Financial Group Inc./H. Beck Inc.        208
38   Questar Capital Corp.                            200
39   VSR Financial Services Inc.                      192
40   American Portfolios Financial Services Inc.      189
41   Triad Advisors Inc.                              186
42   M Holdings Securities Inc. (M Securities)        184
43   Summit Brokerage Services Inc.                   180
44   Century Securities Associates Inc.               176
45   Capital Analysts Inc.                            175
45   Kovack Securities Inc.                           175
45   WRP Investments Inc.                             175
48   Securities Service Network Inc.                  153
49   Equity Services Inc.                             150
49   Wunderlich Securities Inc.                       150
53   Synergy Investment Group                         149
54   Berthel Fisher & Co. Financial Services Inc.     144
55   Brecek & Young Advisors Inc.                     144
56   Transamerica Financial Advisors Inc.             143
57   United Planners’ Financial Services of America   128
58   Pacific West Financial Group                     126
59   LaSalle St. Securities LLC                       121
59   The O.N. Equity Sales Co.                        121
62   Great American Advisors Inc.                     118
63   Delta Equity Services Corp.                      100
63   Girard Securities Inc.                           100
65   Sammons Securities Co. LLC                       100
66   Prospera Financial Services Inc.                 91
67   Harbour Investments Inc.                         90
68   First Midwest Securities Inc.                    88
69   PlanMember Securities Corp.                      82
70   Southwest Securities Inc.                        80
71   Wall Street Financial Group                      77
72   cfd Investments Inc.                             55
73   GBS Financial Corp.                              45
74   Broker Dealer Financial Services Corp.           40
74   brokersXpress LLC                                40
85   Eagle One Investments LLC                        35
85   Ensemble Financial Services                      35
87   Coordinated Capital Securities Inc.              20
88   Morgan Peabody & Co.                             17
89   Cutter & Co. Inc.                                15
90   Signal Securities Inc.                  14
91   LifeMark Securities Corp.               10
92   Correll Co. Investment Services Corp.   4
                  Name
8   James Ryan
10 Todd DiScala
19 Eric Gray
20 Thomas Keegan
21 John Erdmann III
31 Robert Stulberg
36 Jonathan Kass
38 James Hulburd
40 R. Mitchell Wickham
41 Peter Rohr
42 Christopher Mahoney
49 Richard Jones
50 Reza Zafari
56 Thomas Tournat
58 Chalres Wickham Jr.
63 William King
64 Louis Chiavacci
65 Champ Warren III
66 Reed Smith
68 Gregory Cash
69 Kevin Scott
70 James Atwood
71 William Scott
72 Julio Franco
73 Noel Weil
75 John Olson
76 Philippe Hartl
77 James Coffee Jr.
78 Daniel O'Connell
79 Peter Arbogast
80 Patrick Dwyer
81 Dan Osborne
84 Andrew Kraus
88 Richard Whiting
90 Stephen Brown
91 Robert McGinty
94 John Westmoreland
95 Eric Snyder
97 Leigh Cohen
6   J. Dorian McKelvy
9   Brian C. Pfeifler
11 Gregory Vaughan
14 Scott C. Wilson
22 Mark Douglass
32 J. Michael Bollinger
33 Jason L. Fertitta
34 John M. Williams
35 Rebecca Rothstein
37 Jonathan R. Legg
43 David A. Novelli
51 Peter Baird Neville
60 Ajay J. Desai
82 John T. Shadden
85 William W. Gouldin, CIMA
92 Jonathan Harris
99 Brian Strachan
61 Dana Jackson
 1   Roger V. Coleman
 2   Mark T. Curtis
 4   Karen A. McDonald
 5   John Glotzbach
 7   Ronald C. Hart
16 Richard F. Connolly, Jr.
17 Shelley Bergman
18 Charles H. Mulfinger, II, CIMA
26 Phil Shaffer
44 Ami Forte
46 Don d'Adesky
52 Scott Magnesen
53 Peter Princi
54 Michael J. Ricca
55 David Weinerman
57 Kevin Peters
62 William Easom
74 Allan Yarkin
89 Brian L. Moore
100 Larry King
12 Stephen A. Jakosa
23 V. Robert Fisher
27 John Fitzpatrick
28 Caesar R. Ruegg
29 William Greco
30 Emily Van Hoorickx
48 Gregory A. Hersch
59 Michael S. Jankiewicz
83 Andrew Burish
86 Robert C. Rathjen
87 William L. Eintsein
93 Keith A. Mericka
96 Greg Klenke
3   Joseph W Montgomery
13 John D. Blasewitz
15 Brian Ward
24 Steven J. Hefter
25 Walter Meranze
39 Patrick Colin Coyne
45 Thomas M Moran
47 Richard Eriksen
67 David Nelson
98 Gregory W. Zanolli
                                   Wirehouse
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Merrill Lynch
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management
Morgan Stanley Private Wealth Management (Graystone Institutional Consulting)
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
Morgan Stanley Smith Barney
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
UBS Financial Services
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
Wells Fargo Advisors
AUM ($ in millions)
                      $6,278
                      $5,234
                      $3,285
                      $3,087
                      $3,081
                      $2,102
                      $1,968
                      $1,938
                      $1,840
                      $1,797
                      $1,772
                      $1,710
                      $1,700
                      $1,692
                      $1,637
                      $1,567
                      $1,544
                      $1,540
                      $1,528
                      $1,489
                      $1,475
                      $1,474
                      $1,454
                      $1,432
                      $1,417
                      $1,390
                      $1,388
                      $1,378
                      $1,376
                      $1,374
                      $1,363
                      $1,362
                      $1,338
                      $1,272
                      $1,267
                      $1,266
                      $1,234
                      $1,217
                      $1,208
                      $6,500
                      $6,000
 $5,000
 $3,800
 $2,640
 $2,050
 $2,050
 $2,000
 $2,000
 $1,950
 $1,760
 $1,700
 $1,618
 $1,350
 $1,310
 $1,250
 $1,200
 $1,600
$28,000
$22,500
 $8,500
 $7,700
 $6,462
 $3,600
 $3,500
 $3,300
 $2,392
 $1,758
 $1,749
 $1,700
 $1,700
 $1,700
 $1,700
 $1,650
 $1,600
 $1,400
 $1,269
 $1,200
 $4,695
 $2,487
 $2,351
 $2,270
 $2,255
 $2,106
 $1,714
 $1,625
 $1,341
 $1,283
 $1,273
 $1,236
 $1,213
$17,500
 $4,518
 $3,800
 $2,400
 $2,400
 $1,902
 $1,750
 $1,721
 $1,515
 $1,205
                                                              Specialty
HNW families, nonprofit organizations.
HNW individuals, families, and institutional investors.
Asset allocation, values-based financial planning, and portfolio construction for ultra-HNW clients.
Provides investment services to a select group of HNW individuals and corporations.
Ultra-HNW individuals, families, and business leaders.
Tailored approach to maximizing after-tax returns; meeting client financial needs and objectives in the most conservative
manner possible.
Comprehensive wealth management.
Very focused business working with a small number of select clients.
Private wealth management.
Ultra-HNW individuals and multi-family offices.
Comprehensive wealth management.
Asset allocation, trust services, and credit products.
Equity portfolio management.
HNW individuals.
HNW individuals and families.
Companies, non-profit organizations, and affluent families.
Ultra-affluent families.
Creating liquidity events for business owners.
HNW individuals.
HNW individuals and families.
Global wealth management.
Private wealth management.
Private wealth management.
International private wealth management.
Affluent families.
Wealth management services and asset management for HNW individuals.
International private wealth management.
Wealth management for select families, retirement planning.
HNW families.
HNW individuals, foundations.
Ultra-affluent families.
Ultra-HNW individuals, foundations.
HNW individuals and families.
Ultra-HNW individuals, corporations and foundations.
Ultra-HNW clients, including corporate executives, entrepreneurs, affluent families, professional athletes.
HNW individuals and families.
HNW clients, public and private foundations and corporations.
HNW families, nonprofit organizations, and institutional clients.
Asset management and estate planning services.
Estate planning, ultra-HNW clients, foundations, family offices, institutional services.
Generalist with focus on ultra-HNW investors and alternative investments.
Private wealth management.
Alternative investments.
Providing solutions to complex problems for HNW clients.
Ultra-HNW wealth advisory.
Ultra-HNW wealth advisory.
Ultra-HNW, foundations and endowments, comprehensive wealth management.
HNW.
Ultra-HNW families, family office services, executive services.
Private wealth management.
Ultra-HNW.
Ultra-HNW, private wealth management.
Private wealth management and endowments/foundations.
Private wealth management focusing on ultra-HNW clients.
Ultra-HNW advisory & family office services.
Developing and implementing a comprehensive, holistic wealth management strategy for HNW families.
Ultra-HNW wealth management, and corporate services.
Wealth management, corporate services.
Investment management consulting.
Corporate client group director.
Futures, options, derivatives.
HNW individuals, family offices, foundations, and corporations.
HNW families.
Asset allocation.
HNW clients, private clients and institutional consulting (including public funds, foundations/endowments, & corporate DB/DC
retirement plans).
Consulting and asset management for ultra-HNW clients, family offices, non-profits.
Assisting entrepreneurs and senior executives navigate critical, complex or often life-changing financial decisions.
HNW clients and foreign financial institutions in the Caribbean and the U.S.
Retirement planning.
Portfolio and wealth management.
Comprehensive wealth management and financial planning.
Comprehensive wealth management and financial planning.
Holistic wealth management.
Retirement planning, especially helping corporate executives transition to retirement.
HNW individuals and families.
Wealth management, retirement plan consulting and corporate equity solutions.
Discretionary portfolio management.
Custodial & administrative services.
Corporate employee financial services.
Wealth management for HNW clients.
Wealth management.
Corporate employee financial services.
Corporate employee financial services.
Asset allocation, trust and estate planning.
Custodial & administrative services.
Wealth management.
Investment consulting.
Wealth management services for executives, entrepreneurs, and bankers.
Employee share ownership plans.
Corporate employee financial services.
Comprehensive wealth management.
Retirement planning, education expenses.
Retirement planning.
HNW and corporate clients.
HNW individuals, institutional investors.
Retirement planning, education expenses.
FA-directed fee-based portfolio management.
Publicly and privately held corporations, public entities and non-profit organizations.
Private wealth management.
Risk management strategies for families.
               City, State
New York
New York
Century City, Calif.
New York
Greenwich, Conn.
Bloomfield Hills, Mich.
New York
San Francisco
Charlotte, N.C.
Philadelphia
West Nyack, N.Y.
Los Angeles
Los Angeles
Los Angeles
Charlotte, N.C.
New York
Coral Gables, Fla.
Houston
Houston
Charlotte, N.C.
Los Angeles
Boston
Los Angeles
New York
New York
New York
Los Angeles
Houston
Garden City, N.Y.
San Francisco
Miami
San Francisco
New York
New York
Rochester
New York
Atlanta
New York
New York
Menlo Park, Calif.
New York
Menlo Park, Calif.
New York
Menlo Park, Calif.
Houston
Houston
Washington, D.C.
Beverly Hills, Calif.
Washington, D.C.
Houston
Hartford, Conn.
Chicago
Long Beach, Calif.
Houston
San Francisco
Boston
Menlo Park, Calif.
Garden City, N.Y.
Palo Alto, Calif.
Palo Alto, Calif.
Chicago
Atlanta
Boston
New York
Tampa, Fla.
Columbus, Ohio
Palm Harbor, Fla.
Boca Raton, Fla.
Oak Brook, Ill.
Boston
Florham Park, N.J.
Florham Park, N.J.
Purchase, N.Y.
Chicago
Aventura, Fla.
Atlanta
Saratoga Springs, N.Y.
San Francisco
Houston
New York
San Francisco
Hartford, Conn.
San Jose, Calif.
New York
San Francisco
Madison, Wis.
Houston
New York
Atlanta
Houston
Williamsburg, Va.
Los Angeles
Brentwood, Tenn.
Deerfield, Ill.
Yardley, Pa.
Jenkintown, Penn.
Naples, Fla.
Birmingham, Mich.
Charlotte, N.C.
Roseville, Calif.
Broker Dealer                           Name
                                      1 Ron Carson
(LPL Financial)                         Omaha, NE
                                      2 Charles C. Zhang
                                      3 Susan C. Kaplan
(LPL Financial)                         Boston, MA
                                      4 Gerard A. Klingman
(Raymond James Financial Services)      New York, NY
                                      5 Earl Winthrop and Mark Winthrop
(LPL Financial)                         Avon CT
                                      6 James E. Bashaw
(LPL Financial)                         Houston, TX
                                      7 Todd A. Feltz
(LPL Financial)                         Omaha, NE
                                      8 Thomas Bartholomew
(Commonwealth)                          Worcester, MA
                                      9 Brett N. Karras
(Raymond James Financial Services)      Roy, UT
                                     10 Van Pearcy
(Raymond James Financial Services)      Midland, TX
                                     11 Robert Fragasso
                                     12 Kay R. Shirley
(LPL Financial)                         Atlanta, GA
                                     13 Randy Carver
(Raymond James Financial Services)      Mentor, OH
                                     14 Salvador �Sal� Flores, Jr.
(Raymond James Financial Services)      Chandler, AZ
                                     15 David A. Peterson
                                     16 Rob Nelson
                                     17 Roy Williams
(LPL Financial)                         Flemington, NJ
                                     18 Malcolm A Mal� Makin
(Raymond James Financial Services)      Westerly, RI
                                     19 Steve Stocker
                                     20 G. Andrew Ahrens
(LPL Financial)                         Lafayette, LA
                                     21 Laila Marshall-Pence
(LPL Financial)                         Newport Beach, CA
                                     22 Don Campagna
(Raymond James Financial Services)      Boca Raton, FL
                                     23 Joseph Chornyak
                                     24 Mark Smith
(Raymond James Financial Services)      Englewood, CO
                                     25 Edward �Jeff� Sella
(Raymond James Financial Services)      Rockville, MD
                                     26 Nicholas Giacoumakis
                                     27 Michael Gilbert
(LPL Financial)                         Johnson City, TN
                                     28 Deborah Danielson
(LPL Financial)                         Las Vegas, NV
                                     29 Debra Brede
(Commonwealth)                          Needham, MA
                                     30 John Horseman
(National Planning Corp.)                 St. Louis, MO
                                     31   Pat Vitucci
(National Planning Corp.)                 Walnut Creek, CA
                                     32   James A Cox, III
                                     33   Lee Rosenberg
(Cadaret, Grant)                          Jericho, NY
                                     34   J. David Tanner
(Raymond James Financial Services)        Provo, UT
                                     35   Thomas Hamlin
(Raymond James Financial Services)        Portland, OR
                                     36   Scott B. Tiras
(Ameriprise Financial)                    Houston, TX
                                     37   Dale Cebert
(NPC of America)                          The Villages, FL
                                     38   Kalita Bleck Blessing
(Raymond James Financial Services)        Dallas,TX
                                     39   Kerrick W. Bubb
                                     40   Jeffery D. Chaddock
                                     41   Alexandra Armstrong
(Commonwealth)                            Washington, DC
                                     42   Brett Ellen
(American FinancialNetwork)               Calabasas, CA
                                     43   Carlo A. Panaccione
(LPL Financial)                           Redwood City, CA
                                     44   Robert Kantor
(LPL Financial)                           Rockville, MD
                                     45   V.L. Bud Sanftner
(LPL Financial)                           West DesMonies, IA
                                     46   Sheryl �Sherri� Stephens
(Raymond James Financial Services)        Flint, MI
                                     47   Michael Babyak Jr. II
                                     48   Sally Law
(Raymond James Financial Services)        Glenn Echo, MD
                                     49   Todd Arthur Sanford
(Raymond James Financial Services)        Portage, MI
                                     50   Michael �Mike� Hines
(Raymond James Financial Services)        Atlanta, GA
                                     51   Stephen W. Johnson
                                     52   John Keeney
(LPL Financial)                           Columbia, MD
                                     53   Robert J. Floe
                                     54   Claudia Jacques-Soto & Bichop Nawrot
(LPL Financial)                           Bloomfield, CT
                                     55   David M. Nelson
(LPL Financial)                           Davenport, IA
                                     56   Charles �Chuck� Morris
                                     57   Kenneth Stern
(First Allied Securities)                 San Diego, CA
                                     58   Bennett Marks
(LPL Financial)                           Minnetonka, MN
                                     59   George Jackson
(Jackson Retirement Planning)             Heathrow, FL
                                     60   Timothy W. Leveroni
(LPL Financial)                           Braintree, MA
                                     61   George Papadoyannis
(Ameriprise Financial)                    Redwood Shores, CA
                                     62   Carrie Coghill-Kuntz
(Commonwealth)                            Pittsburgh, PA
                                     63   Lawrence R. Lindsley
(LPL Financial)                           Green Bay, WI
                                     64   Mike Slaggie
(Raymond James Financial Services)        Winona, MN
                                     65   Ashok Shendure
(Commonwealth)                            Solon, OH
                                     66   Carl Stuart
                                     67   Charlene Carter
                                     68   George R. Pierce
(LPL Financial)                           Seattle, WA
                                     69   Daniel Pinkerton
(LPL Financial)                           Coeur D'Alene, ID
                                     70   Mark R. Brown
                                     71   Gail D. Reid
(Ameriprise Financial)                    Glendale, CA
                                     72   Debra Hilton
(LPL Financial)                           The Woodlands, TX
                                     73   Arthur P. Colamarino/Adam Yofan
(LPL Financial)                           Pittsburgh, PA
                                     74   Holmes Sherard Pettey
(Raymond James Financial Services)        Clarksdale, MS
                                     75   Dudley McBee Barnes
(Raymond James Financial Services)        Clarksdale, MS
                                     76   David Root
                                     77   Douglas J. Lockwood
(LPL Financial)                           Manasquan, NJ
                                     78   Carole R. Ford
(LPL Financial)                           Fresno, CA
                                     79   Jeffrey M. Crosby
                                     80   Robert Bjork
(Raymond James Financial Services)        Bloomington, MN
                                     81   Michael Bonevento
                                     82   David Armstrong
(LPL Financial)                           Alexandria, VA
                                     83   Judith Ann McGee
(Raymond James Financial Services)        Portland, OR
                                     84   Steven Hoffman
(Cadaret, Grant)                          Jericho, NY
                                     85   Daniel H. Boyce
(Raymond James Financial Services)        Southfield, MI
                                     86   Carol L. Rogers
(LPL Financial)                           Saint Louis, MO
                                     87   Thomas H. Ruggie
(LPL Financial)                           Tavares, FL
                                     88   Melissa Anderson Duffy
(LPL Financial)                           Cumberland Foreside, ME
                                     89   Brad Griswold
                                     90   John W. Moore
(Raymond James Financial Services)        Albuquerque, NM
                                     91   Bryan Sweet
(Raymond James Financial Services)        Fairmont, MN
                                     92   Daniel Joseph Gavin
(Raymond James Financial Services)         Midland, MI
                                     93    Richard H. Wagener
(Raymond James Financial Services)         Columbia, MD
                                     94    Larry Waller
(LPL Financial)                            Columbus, OH
                                     95    Burk Rosenthal
(National Planning Corp)                   Fort Worth, TX
                                     96    Gary W. Pelletier
                                     97    William Leeb
                                     98    William �Mike� Robertson
(First Allied Securities)                  Houston, TX
                                     99    Jon Wax
(Raymond James Financial Services)         Tampa, FL
                                     100   Graham C. Parsons, II
Firm                                                                  City
Carson Wealth Management Group
                                                           2,456.50                          27
Zhang Financial (LPL Financial)                                       Portage, MI
Kaplan Financial Services
                                                               950                           25
Klingman & Associates
                                                            920.08                           27
Winthrop Wealth Mgmt.
                                                               801                           27
James E. Bashaw & Co
                                                               800                           26
Feltz WealthPLAN
                                                               800                           28
Bartholomew & Company
                                                            771.44                           28
The Karras Company, Inc.
                                                            728.06                           17
Van Pearcy's Wealth Services Team
                                                            721.05                           23
Fragasso Financial Advisors (LPL Financial)                           Pittsburgh, PA
Financial Development Corporation
                                                            605.61                           30
Carver Financial Services
                                                             581.5                           24
Flores Capital Management
                                                            575.26                           30
Peak Capital (LPL Financial)                                          Highlands Ranch, CO
Ameriprise Financial                                                  Minneapolis, MN
Prestige Wealth Management Group
                                                               539                           29
Professional Planning Group
                                                            537.32                           26
Investment Partners (Commonwealth)                                    New Philadelphia, OH
Ahrens Investment Partners
                                                               500                           20
Pence Wealth Management
                                                               500                           30
Personal Portfolio Management, Inc
                                                            477.65                           28
Chornyak & Associates (Commonwealth)                                  Columbus, OH
M J Smith and Associates
                                                            472.21                           27
SPC Financial, Inc.
                                                            455.47                           30
New England Investment & Retirement Group (Commonwealth)              North Andover, MA
Gilbert Advanced Asset Management
                                                               420                           30
Danielson Financial Group
                                                               402                           29
D. K. Brede Investment
                                                            400.99                           27
JM Horseman Group
                                            400                           30
Vitucci & Associates
                                            400                           17
Harris Financial Group (LPL Financial)             Colonial Heights, VA
ARS Financial Services
                                          395.76                          35
Tanner Capital Management
                                            395                           25
Somerset Wealth Strategies
                                            383                           20
Tiras, Pennington and Associates
                                          377.83                          22
Cebert Wealth Management
                                            375                           13
Quest Capital Management
                                            370                           17
KWB & Associates (LPL Financial)                   Redlands, CA
Ameriprise Financial                               Columbus, OH
Armstrong, Fleming & Moore Inc
                                          350.11                          44
Securities America
                                            350                           25
Navigation Group
                                            350                           25
XML Financial group
                                            350                           21
Aspen Financial Services
                                            345                           10
Stephens Wealth Management Group
                                          341.18                          35
LPL Financial                                      Mine Hill, NJ
Law & Associates
                                            340                           37
Sanford Financial Services
                                            340                           29
Consolidated Planning Corporation
                                          335.33                          35
Raymond James Financial Services                   Draper, UT
Keeney Financial Group
                                          327.45                          12
Floe Financial Partners (LPL Financial)            Pasadena, CA
Capital Strategies
                                          323.43                          23
NelsonCorp Wealth Management
                                            320                           30
Raymond James Financial Services                   Baton Rouge, LA
Ken Stern & Associates
                                          309.08                          13
Marks Group Wealth Management
                                            305                           2
Triad Advisors
                                            300                           2
Leveroni Financial Management
                                            300                           25
Papadoyannis And Associates
                                         300                     19
D. B. Root & Company
                                         300                     13
Summit Planning Group
                                       295.16                    11
Slaggie Capital Group
                                       288.87                    10
BDS Financial Service Corporation
                                         288                     24
Raymond James Financial Services                Austin, TX
Raymond James Financial Services                Eugene, OR
George R. Pierce & Assoc.
                                         270                     27
Pinkerton Retirement Specialists
                                         270                     23
Brown & Tedstrom (LPL Financial)                Denver, CO
Reid, Godinez, Avina & Associates
                                         260                     22
D. Hilton Financial Services
                                         260                     27
Alpern Rosenthal Financial
                                         255                     24
Barnes-Pettey Financial Advisors
                                         255                     28
Barnes-Pettey Financial Advisors
                                        251.5                    38
Commonwealth                                    Pittsburgh, PA
Harbor Lights Financial Group
                                         249                     15
Ford Financial Group
                                         245                     31
Ameriprise Financial                            Belleve, WA
Birch Cove Group
                                       240.21                    28
Ameriprise Financial                            Brielle, NJ
Monument Wealth Management
                                         235                     11
McGee Financial Strategies
                                       234.79                    35
Steven Hoffman & Associates
                                       233.26                    36
Center for Financial Planning
                                       232.23                    29
Rogers & Company Wealth
                                         230                     34
Ruggie Wealth Management
                                         230                     19
Duffy Anderson Investment Management
                                         230                     15
The CWM Group (LPL Financial)                   Bethlehem, PA
John Moore & Associates
                                         230                     29
Sweet Financial Services
                                       226.26                    30
RayGavin & Associates
                                                221.27                38
Wagener-Lee Wealth Advisors
                                                221.05                36
Waller Financial Planning Group
                                                  220                 41
Rosenthal Retirement Planning
                                                  215                 20
LPL Financial / Northeast Planning Associates            Nashua, NH
Financial Council, Inc. (Commonwealth)                   Towson, MD
Robertson & Associates
                                                212.72                34
Waller & Wax Advisors
                                                212.39                14
LPL Financial                                            Erie, PA
Assets under management ($ in millions)

Advancing and protecting capital in sideways to negative markets.
                                                                                                          1,100.00

Family practice. Investments, retirement, estate planning, tax, cash flow, and gifting.

Comprehensive wealth management for high-net-worth families.

Independent comprehensive wealth management services.

Holistic private wealth advisory for families, small businesses and non-profit organizations.

Accumulation and preservation of assets to provide retirement income.

Comprehensive wealth management.

Comprehensive wealth management.

Wealth management and estate/asset protection.
                                                                                                              640

Provide financial resources that deliver success with care and measurable results.

Provide customized wealth management sevices to individuals, corporations and institutions.

Provide superior financial service with commitment to excellence and integrity.
                                                                                                              550
                                                                                                              550

Comprehensive wealth management, providing customized planning solutions to high-net-worth individuals.

Full service, comprehensive wealth management� for individuals and endowments.
                                                                                                           501.01

Preserve, grow, and protect our clients' assets with great service.

Identify big knowable themes, capture cash flow and manage risk.

Comprehensive financial planning, asset allocation for high-net-worth individuals and businesses.
                                                                                                              473

Asset management services with a comprehensive financial planning approach including tax planning.

Cross-trained & proficient in wealth management and tax integration strategies.
                                                                                                              450

Retirement income management and wealth preservation.

We provide excellence in comprehensive financial planning and asset management.

Comprehensive wealth management. Management Company
Preservation and growth of capital to help provide retirement income.

Respect the client's needs by managing their portfolio with integrity and consistency; don't �invest and forget.�
                                                                                                                                                     398

Personal financial planning, written financial plans, tax preparation and accounting services, estate planning, retirement planning, investment.

Focusing on high-net-worth entrepreneurs with an emphasis on charitable strategies.

Sleep-well-at-night strategies for keeping our retirees retired.

Wealth management specializing in retirement and pre-retirement financial planning.

Proactive wealth management for retirement.

Financial planning.
                                                                                                                                                     360
                                                                                                                                                     354

Financial planning and portfolio management services.

Helping bridge gap between businesses and people that own them.

Provide wealth solutions as the direct result of comprehensive planning.

Comprehensive financial planning, asset management and insurance.

Sales team with a balanced approach; 30% stocks & bonds, 35% managed acct., 35% insurance annuities.

Fee-based consulting for high-net-worth clients, professionals and business owners.
                                                                                                                                                     341

Providing clients with wealth management and financial planning.

Multi-specialty firm serving educators, small business owners and employees of major local corporations.

Serving clients ranging from retirees, doctors and attorneys to business owners.
                                                                                                                                                   334.95

Financial planning, wealth planning and risk management.
                                                                                                                                                     325

Always put the clients' interests first and provide extraordinary service.

We're humbled to be recognizing 30 years of rock solid financial advice.
                                                                                                                                                   314.13

Uncompromised family wealth planning/ investment management; integrating investment strategies with creative estate and legacy planning.

Comprehensive wealth management and planning.

Comprehensive wealth managers to high-net-worth individuals.

Providing financial planning for three generations with a full service team.
Private wealth advisory firm focusing on holistic planning solutions.

Family wealth management.

Comprehensive wealth management services.

Comprehensive wealth management for high-net-worth families and foundations.

Comprehensive financial planning including investments, retirement, education and life planning.
                                                                                                                                              279.84
                                                                                                                                              275.93

A team-oriented, personal approach to wealth management for life.

Comprehensive wealth management for retirees and those seriously planning retirement.
                                                                                                                                              267.74

Build and preserve wealth through financial planning.
Unparalleled service and knowledge in the design, implementation, and ongoing management of executive compensation plans for not-for-profit
organizations.

Full service wealth management and estate tax Services minimization planning.

Comprehensive financial planning.

Comprehensive financial planning for rural America.
                                                                                                                                                250

Full service financial planning and wealth management.

Holistic financial planning for families, women and the catastrophically injured.
                                                                                                                                                243

High-touch wealth and financial planning for high-net-worth clients.
                                                                                                                                              239.08

Fee-based private wealth planning and asset management.

Financial planning with a focus on the well-educated, professional client.

Estate and retirement planning.

Wealth management for high-net-worth individuals.
Certified private wealth manager providing Management comprehensive planning and wealth management solutions to high-net-worth families and
individuals.

A financial plan equals financial peace.

Wealth management and retirement planning for high-net-worth clients.
                                                                                                                                                230

Investment strategy and implementation with an emphasis on generosity.

Your path to a worry-free retirement.
Financial planning and investment management for mid/upper level management.

Comprehensive wealth management services for corporate executives, professionals and retirees.

Lifestyle and legacy choices by design.

Independent advisory firm providing comprehensive financial planning for pre-retirees, retirees, widows and divorced women.
                                                                                                                                 214
                                                                                                                                212.8

Managed money, estate planning and investment banking for HNW and UHNW.

Assist, young, established and mature professionals with reaching goals.
                                                                                                                              $211.37
Yrs in the business



                      19




                      38




                      16
                      17




                      20




                      32




                      22
14




23
22




17




20



16




27
31
21




27




27




16



16




21
25
30




24
Business Description/Specialty



Providing each of our clients with sound unbiased advice and solutions.




Investment management and financial planning.




Comprehensive financial planning; primary focus on retirement planning.
Integrated advice and asset management solutions developed to address client needs.




Wealth management for high-net-worth and mass affluent clients, portfolio management for retirement plans, corporations, family trusts, endowments and
foundations.




Comprehensive financial planning.




Comprehensive investment and wealth management.
Retirement income planning.




Creating unique retirement solutions for retired or near retired individuals.
Predominate focus on affluent clients in telecom industry and higher education




Holistic planning with concierge level service.




Combination of retail and employee retirement income security act plans.



We successfully employ both tactical and strategic asset allocation.




Comprehensive financial planning.
Investment management.
Financial planning focus, personalized investment strategy. Long-term relationships




Wealth management driven by proprietary financial planning philosophy.




Family wealth management.




Family financial officer to help enhance financial success and gain balance in their life.



Global financial planning and fee-based wealth management.




Dedicated to assisting our clients in achieving their financial goals by developing and implementing a personalized strategy for each individual client.
Retirement accumulation and distribution strategies for businesses and/or individuals.
Comprehensive financial planning.




Help clients achieve life goals. Matching asset allocation to risk tolerance.
AIG Advisors   AIG Advisors       BD Peter Hirsch     9/20   Our Compliance / Legal teams are still in the process of deciding what 11/16
Group          Group                                         and how they are going to monitor the ERISA Business going forward,
                                                             so we have not ready yet to look at tools that can help us accomplish
                                                             the procedures. I still have eFiduciary.net on my short list to put in front
                                                             of my teams when they are ready. I appreciate you reaching out to me
                                                             and as soon as we are ready to evaluate further I will let you know. PH


               AIG Advisors       BD Peter Hirsch     11/8   Spoke with Peter. He said we are still on his list. Compliance still does 12/12
               Group                                         not know what they are going to do. He has explained eFiduciary.net to
                                                             them.
Ameriprise     Ameriprise         BD Jeff Dremal      10/6   612-678-6059                                                              10/7
               Ameriprise         BD Daniel Dow       10/7   612-671-8264                                                             10/20
               Ameriprise         BD Daniel Dow       11/1   Set a Demo for Friday                                                    11/4
               Ameriprise         BD Daniel Dow       11/4  Dan - Dir. Of Retirement, Kurt - Legal, Jason, Will, & Dean Kramar        11/8
                                                            Product Development. Sent Proposal.
               Ameriprise         BD Daniel Dow       11/16 We are on his list 8th. Contact after Thanksgiving                        11/30
               Ameriprise         BD Daniel Dow       12/15 Dan informed me that for 2012 they are not going forward with             2/28
                                                            eFiduciary.net. I asked that I stay in touch with him on our progress
                                                            with other BD's
                                                            Dan informed me that for 2012 they are not going forward with
                                                            eFiduciary.net. I asked that I stay in touch with him on our progress
                                                            with other BD's

AXA Adviosrs AXA Adviosrs         BD Paul Reed        10/6   Spoke to Irene                                                           10/7

               AXA Adviosrs       BD David Semmler    10/7   303-717-9724 Pooped it                                                   10/10
               AXA Adviosrs       BD David Semmler    10/10 Spoke with David and he said that they use Wilshire Assoc. as a 321 & Closed
                                                            338
Cadaret,       Cadaret, Grant &   BD Marypat Ganley   9/2   Had a problem with the demo. Jake is addressing it. (fixed) She saw the 10/17
Grant & Co.    Co.                                          value in the product. She said they are having a conference coming up
                                                            and will get a group of advisers to talk to about the advantage of having
                                                            this. I quoted her $1500 for adviser license yrly.

               Cadaret, Grant &   BD Marypat Ganley   10/25 Very interested Call back next week. Wants to talk to marketing.          11/1
               Co.
               Cadaret, Grant &   BD Marypat Ganley   11/1   Wants to get us on a webcast. Will contact me Friday with dates.         11/4
               Co.
               Cadaret, Grant &   BD Marypat Ganley   11/1   Call back Friday November 4th                                            11/4
               Co.
               Cadaret, Grant &   BD Marypat Ganley   11/4   Will sit down with marketing group on Monday and they will contact       11/11
               Co.                                           me. They want to get use in a web cast to their people.

               Cadaret, Grant &   BD Marypat Ganley   11/8   I forwarded your information to Diana Ucchino in our marketing           11/16
               Co.                                           department yesterday and she will be in contact with you. She will
                                                             probably ask for another internal demonstration for marketing and
                                                             compliance before putting your on the advisor schedule; but I’m sure
                                                             she’ll be in touch with you later this week or early next week.


               Cadaret, Grant &   BD Diana Ucchino    11/30 Did a demo. Sent Licsense Agreement, Screen shots, Proposal               12/13
               Co.
               Cadaret, Grant &   BD Diana Ucchino    12/13 Call her Friday                                                           12/29
               Co.
Cambridge    Cambridge          BD Mark Thornton     8/17   Had breakfast with Mark. Did the demo. He ask that I send him a price 8/29
Investment   Investment                                     list. He said that he would put it on the table for review. I think I will
Research     Research                                       also send him some screen shots. Tom asked me to also contact
                                                            Colleen Bell in compliance to get her thoughts. Like to later offer a
                                                            group rate to the entire Cambridge Brokers.

             Cambridge          BD Colleen Bell      8/22   Set up a demo with Colleen                                              8/30
             Investment
             Research
             Cambridge          BD Colleen Bell      8/30   Demo with Colleen. Liked the product. Asked will it connect thru        9/7
             Investment                                     SMARSH. She said anything that is sent to the client needs to be sent
             Research                                       to SMARSH. Tom says these are documents for a committee. Not a
                                                            contract.
             Cambridge          BD Mark Thorton      8/30   Set up conference call with Mark, Tom Z., Colleen, Mark Z.              9/20
             Investment
             Research
             Cambridge          BD Colleen & Mark    9/20   Conference Call went well. We both understand what we need. We will 10/21
             Investment                                     get back to them as soon as we have a tool built & implemented. We
             Research                                       will be sitting down with Jake to discuss our needs.

            Cambridge           BD Colleen & Mark    10/7   Spoke to Colleen asked her if I could send her a proposal.              10/21
            Investment
            Research
            Cambridge           BD Colleen & Mark    10/17 Proposal Sent                                                            10/21
            Investment
            Research
            Cambridge           BD Colleen & Mark    10/25 Having a meeting tomorrow and will discuss the proposal                  10/28
            Investment
            Research
            Cambridge           BD Colleen & Mark    11/7   Having a meeting Wednesday and will discuss the proposal. Call back     11/14
            Investment                                      11/14
            Research
            Cambridge           BD Mark Thorton      11/15 eFidu was discussed and will be discussed again tomorrow. Check back 11/21
            Investment                                     with Mark
            Research
            Cambridge           BD Carrie Anderson   12/5   ext 1415 Practice Mgmt. Team Sent email. Must set up a demo 12/14
            Investment
            Research
Commonwealt Commonwealth        BD Paul Mahan        9/28   Sent another email & VM                                                 10/3
h Financial Financial Network
Network
Commonwealt Commonwealth        BD Paul Mahan        9/29   Mark. Will be in touch next week when I return. Thanks PM               10/4
h Financial Financial Network
Network
            Commonwealth        BD Paul Mahan        10/7   Demoed - wants a proposal! Will send me a date to come up and do a      10/18
            Financial Network                               demo for his team. He said it is great timing, planning for 2012.

             Commonwealth      BD Paul Mahan         10/17 Proposal Sent                                                            11/3
             Financial Network

             Commonwealth      BD Paul Mahan         11/3   Mark. I will be in touch after our national sales meeting, which        11/10
             Financial Network                              concluded next Monday. Will call you next week. Thanks PM

             Commonwealth      BD Paul Mahan         11/8   Left a message for Paul that I'm in Roch, NY. Call me.                  11/14
             Financial Network
              Commonwealth      BD Paul Mahan            11/10 Will meet with me on Monday Nov 14th @11:00am                             11/14
              Financial Network

              Commonwealth      BD Paul Mahan            11/16 eMail: After our discussion, I contacted Tom and Sean, and they            11/22
              Financial Network                                suggested that I do a demo for those that are interested in looking at it.
                                                               This way I can quickly show the features of the product and maybe get
                                                               some feedback from them when they view it. Can you set me up with a
                                                               contact, time and day? MZ

              Commonwealth      BD Paul Mahan            11/21 I think the next step is a demo with my team, based upon our              11/28
              Financial Network                                discussion last week. Let me put that together after the holiday.

John Hancock - John Hancock - BD BD                      10/6   Contacted and will send me a day and time to meet with him.              10/20
BD
                                      Michael Enriquez
              John Hancock - BD BD                       10/20 Got Michael to set up a demo                                              11/18
                                      Michael Enriquez
              John Hancock - BD BD                       11/18 Demoed Michael Enriquez and Derenig Kostikian. Liked the product          12/1
                                     Michael Enriquez          wants a proposal. Screen shots, and any thing else to help them sell it
                                     Derenig Kostikian         up the ladder.
KMS           KMS                 BD Casey Dougherty     11/8 Spoke to Casey Dougherty in compliance. He said that you basically had
                                                               to contact the advisors first and then if they were interested they would
                                                               then contact KMS to make sure it is compliant.

              Lincoln Financial   BD Bob Mellia          10/7   484-583-1692 Call him Troy is giving him a heads up.                     10/14
              Group

              Lincoln Financial   BD Bob Mellia          10/10 DEMO!!! Oct 14 2:00pm                                                     10/14
              Group

              Lincoln Financial   BD Bob Mellia          10/14 Demo with Bob. Wants me to contact him after we speak with Jason          10/24
              Group                                            Roberts on 10/24/11.

              Lincoln Financial   BD Bob Mellia          11/7   Sent proposal Call Thursday @ 8:30am.                                    11/10
              Group

              Lincoln Financial   BD Bob Mellia          11/10 I know that we would not be able to consider til next year. Let's push til 1/4
              Group                                            Early 2012. BM

LPL - CORP    LPL - CORP          BD Adam Sokolic        9/16   It was nice to meet you as well. I think next steps from my perspective 10/21
                                                                are to have you guys provide some answers to the questions I had
                                                                (Scott had taken some notes)… not sure we need a call to discuss them
                                                                at this point, but if you could shoot them over via email we can review
                                                                and take it from there…

              LPL - CORP          BD Adam Sokolic                                                                             11/15
                                                         10/14 Some of the subjects that we discussed at PANC 2011: refer to OneNote
              LPL - CORP          BD Adam Sokolic        11/15 I had conversation with Scott Revare in Oct, he told me that you plate if 1/2
                                                               pretty full for the rest of the year. I just want to touch base with you to
                                                               get an idea as to when you would want to continue conversation about
                                                               eFiduciary.net. Or is there anyone on your side that you would want to
                                                               get a view of this product and make sure that we meet your needs? MZ


              LPL - CORP          BD Adam Sokolic                                                                                    1/9
                                                         11/16 Why don’t you reach out in mid-January and we can see where things stand….AS
NFP -         NFP -               BD Dana Rhodes         10/12 800-880-0080 ext 6751                                                     10/13
              NFP -               BD Jeff Cheshier       10/13 Demo 3:00pm 10/17 Jeff is the man!                                        10/17
             NFP -           BD                         10/17 Did a demo. Went well. I told him I would send a Proposal. Sent.
                                Jeff Cheshier
             NFP -           BD Jeff Cheshier           10/18 I was interested in checking out your website, but it appears to be        10/19
                                                              password protected. Do you have a public-facing site with information
                                                              about the company and your services?JC Proposal Sent.

             NFP -           BD Jeff Cheshier           10/19 Jeff wants to do a demo w/ compliance on Monday                            10/24
             NFP -           BD Jeff Cheshier           10/20 OK, we’re a go for Monday the 24th @ 1:30 Central. We’ll be meeting 10/24
                                                              in a conference room, so we can call you if that’s ok. If you’d like to get
                                                              the webinar set up and e-mail the arrangements to me, I’ll get us logged
                                                              on from the conference room. David Svrcek and Peter Quinones from
                                                              our Advertising & Compliance Group will be joining me.


             NFP -                                      10/24 Give
                             BD Jeff Cheshier, Peter Quinones, Dave Peter Quinones a call next week - he is with compliance              11/1

             NFP -           BD Peter Quinones          11/1    Set up a appointment to review concerns                                  11/9
             NFP -           BD Peter                   11/2    Review Concerns                                                          11/9
             NFP -           BD Peter Quinones          11/9    no show
             NFP -           BD Peter Quinones          11/15 Spoke to Peter and he said that he had 2 issues: 1: Advisors ability to 11/28
                                                              delete items in the document library and workbin. 2: IM with the client
                                                              and advisor. Get back with him when we can review this again.

Northwestern Northwestern    BD Larry Myrold            8/11    We are still on his list.                                                9/5
Mutual       Mutual
             Northwestern    BD Larry Myrold            9/6     Touched base. Call back in 2 weeks.                                      10/21
             Mutual
             Northwestern    BD Larry Myrold            9/21    Larry,We are addressing the compliancy issues. I will be in touch with   10/21
             Mutual                                             you when we have the tools implemented. MZ

             Northwestern    BD Larry Myrold            10/21 Spoke with Larry and told him that I will stay in touch with him. Asked    11/8
             Mutual                                           if he could give me a name to a compliance person that would be
                                                              interested in viewing a demo.

            Northwestern     BD Larry Myrold            11/8  Larry told me that he would get in touch with their "Third Party           11/23
            Mutual                                            Software Group" Said he would call me back .
            Northwestern     BD Larry Myrold            11/28 Dripped another call to him.                                               12/29
            Mutual
Oppenheimer Oppenheimer      BD Rich Rowehl             8/1     Over sees Retiremanagement                                               8/12
             Oppenheimer     BD Rich Rowehl             8/19    We are still on his to do list.                                          9/2
             Oppenheimer     BD Rich Rowehl             9/19    Spoke with Jeremy Deleski, 403b 2 is the big concern, on their own or    10/3
                                                                to partner?, asked if I have spoken w/ DCIO’s, told him about FINRA

             Oppenheimer     BD Rich Rowehl             10/3    Touched base. Call back in 2 weeks. 10/17/2011                           10/21
             Oppenheimer     BD Rich Rowehl             10/21 Touched base. Call back in 2 weeks. 11/4/2011 We are still on the table 11/4
             Oppenheimer     BD Rich Rowehl             11/4    Rich spoke to Jeremy and they are waiting for the outcome of 403b 2.     12/4
             Raymond James   BD David Drakulich         10/3    Sent email - will be back next week                                      10/11
             Raymond James   BD David Drakulich Sr.     10/3    I got your name from one of your Advisors. My name is Mark Zamiara 10/11
                                Retirement Plan                 and I represent eFiduciary.net. eFiduciary.net is a web based software
                                Consultant                      to manage your fiduciary responsibility. It was created by advisors for
                                                                advisors to share with the plan sponsor committee. Listed below are
                                                                some of the features of eFiduciary.net. Could I have a moment of your
                                                                time to show you this new tool? It would take approximately 20 min.
                                                                When would be a good time for you to look at this?
                Raymond James      BD Tom J. Harrington   10/13 Spoke with Tom Harrington. Not really interested . Send the info. And 10/20
                                                                he will look at it.
                Raymond James      BD Tom J. Harrington   10/26 I have forwarded your material on to another member of my group that 11/22
                                                                handles vendor relationship management. He will contact you if
                                                                interested TH
Stifel Nicolaus Stifel Nicolaus    BD Mary Claire Voss    9/12 Met at the show PlanAdviser 2011 Orlando FL                            10/5

                Stifel Nicolaus    BD Mary Claire Voss    10/5   Emailed request for a demo                                              11/4
Summit          Summit Financial   BD Kristina Humphrey   8/1    Will share with Kristina Humphrey’s boss Casey Dinsmore. They are       8/11
Financial       Group                                            looking to see what is out there.
Group
                Summit Financial   BD Kristina Humphrey   8/11   Kristina sent me her bosses email and told me to email her. At this time 8/18
                Group                                            I am not interested in a call about for the demo. Should I wish to get
                                                                 more information I will contact you.- Kaci

                Summit Financial   BD Kristina Humphrey   9/28   Sent a email to follow up                                               10/24
                Group

                Summit Financial   BD Kaci Dinsmore       11/8   Not interested at this time.                                            2/12
                Group

                                   BD                            Out til Thursday
Triad Advisors Triad Advisors           Michael Bryan     11/1                                                                           11/3
United          United Planner     BD Billy Oliverio      10/7   emailed                                                                 10/14
Planner
                United Planner     BD Billy Oliverio      10/18 Demo tomorrow at 4:00pm                                                  10/19
                United Planner     BD Billy Oliverio      10/19 Went very well! Aaron is the compliance guy. Love the program! Send 10/25
                                                                a proposal.
                United Planner     BD Billy Oliverio      11/7 Billy is having a meeting with the execs. On Wednesday. Two things he 11/21
                                                                asked . Two things he asked . 1. Who will handle the billing? A.them B.
                                                                Us via Paypal. 2. Is there anything in this for us?
Company                                        Contact             Phone
(k)larity                                      Todd Lacy
1st Global                                     Carol L. McBeth     (877)959-8400
401(k) Plan Services, Inc                      Ted Kowalchuk       (954)341-6343
401(k) Rekon                                   Brandon Helms       (877)401-5489
401k Coach                                     Charlie Epstein     (877)932-6236
401k Coach                                     Marie Forest        (877)932-6236
401k Direct                                    David C. Wade       (800)571-5104
Advanced Equities Asset Management             Andrew Ganz         (619)702-9600
Advanced Financial Strategists, Inc            Eric C. Loyd        (770)277-2770
Advanced Pension Solutions                     Paul A. Rossie      (407)790-1278
Advisor Alliance                           x   Brent Harless       (405)659-1963
Advisor Group                              x   Peter Hirsch        (800)547-2382
AFS Financial Group                        x   Alexander Assaley   (301)961-8401
Alliance Benefit Group                     x   Lawrence Solomon    (801)486-5069
Alpha Pension Group                            Mark Salamone       (617)519-8400
Atlantic Pension Services                      Autumn Beig         (610)925-5554
American Century                               Margaret Pierce     (888)900-1018
American Investment Services, Inc.             Charles Murphy
American National Bank of Texas                Jeff Atwell         (800)837-6584
Ascent Wealth Management Group                 Todd B. White       (650)587-8616
Asset Strategy Consultants                     Kent Fitzpatrick    (781)235-4426
Atlanta 401k Advisors, LLC                     Thomas Bobowski     (678)222-1775
Avondale Partners                              Jordan Sibler       (615)467-3500
Baker Tilly Investment Advisors, LLC           Todd Engman         (608)240-2589
Baker Welch & Mitsutome Financial              Arthur Mitsutome    (925)300-3225
Ballard Consulting, LLC                        Emmett Ballard      (423)341-2767
Barrow & Powers                                Todd Barrow         (888)575-3955
Baystate Financial Services                    Stephen Cunha       (781)876-4113
Baystate Financial Services LLC                Kevin McGrath       (617)585-4514
BCL Financial Management Consultants Inc       Larry R. Lexow      (618)692-9999
Beacon Financial                               Larry Agler         (203)261-4151
Benefit Administration Inc                     Kevin Speich        (920)720-5260
Benefit Funding Services Group                 Christopher Rowey   (949)955-3480
Benefit Professionals, Inc                     Terri Miholitis     (800)545-6741
Benefit Sources & Solutions                    Howard Stolzer      (732)560-1010
Benefits Funding Services Group                John Campbell       (949)955-5781
BlackRock                                      Daniel Colluccio    (201)942-8752
Bragg Financial                                John Bragg          (704)377-0261
BrightScope Inc.                               Mike Alfred
Brown Brothers                                 Eric Lowrey         (617)772-1005
Bukaty Companies                               Vincent Morris      (913)345-0440
Cafaro Greenleaf                               Dorran Cafaro       (800)401-4830
Cafaro Greenleaf                               Jamie Greenleaf     (800)401-4830
Cambridge                                      Mark Thornton       (800)777-6080
Cambridge                                      Marvin Souchek      (402)466-5109
Cammack LaRhette Consulting                    Mike Sanders        (646)839-8234
Canon Capital                               Peter Roland          (215)723-4881
Capital Analyst                         x   Patrick Robison       (213)746-6199
Capital Concepts                            Scott Copeland        (256)830-5900
CAPTRUST                                    Todd L. Jones         (919)870-6822
Center for Fiduciary Management LLC         Larry Marshall        (866)411-2336
Certified Financial Goup, Inc               Joseph Bert           (800)393-9900
Certified Financial Group, Inc              Michael J. McCann     (800)393-9900
CFS Investment Advisory Services, LLC       Andy Harper           (973)826-8800
Chamberlain Financial Planning LLC          Michael Chamberlain   (831)420-1340
Champion Capital Research                   Ed Jefferson          (713)974-8883
Champion Capital Research                   Mary                  (713)974-8882
Charles Schwab                              Michael Filbin        (602)355-3203
Chase Benefit Advisors                      Clarke Chase          (804)270-3701
Chesme Capital Managment                    Steve Erb             (877)843-0507
Choa and Company Ltd                        Philip Choa           (703)847-4380
CIPC Systems Inc                            Richard A. Perry      (508)832-2299
City of Lakeland Government                 Jennifer Kerr         (863)834-8794
Clear Wealth                                John Fitzgerald       (800)657-6378
Clear Wealth                                Mike Fitzgerald       (208)384-8515
Clearbrook Investment Consulting            Ryan Murphy           (617)850-9440
ClearPath Retirement Partners               Walt Melcher          (303)658-9868
Cloud Capital                               Michael Stillman      (214)801-6066
Colonial Surety Co                          Hilda Gerhard         (201)949-1138
Commonwealth Financial Group                Jack Bevilacqua       (978)535-8989
Comperio Retirement Consulting              Jim Sotell            (919)401-3500
Concord Advisory Group                      Jim Leechan           (609)987-9000
Corporate Benefit Solutions                 Paul Salamon          (203)702-2000
Deschutes Investment Advisors               Tim Wood              (800)566-2323
Dietz & Lynch Capital                       Ed Lynch              (978)225-8386
DiMeo Schneider & Associates                Geoffrey Strotman     (800)392-9998
Diversified Financial Advisors LLC          John Moynihan         (800)307-0376
Diversified Global Investments, LLC         Donald Pierini        (205)877-4512
Diversified Wealth Management               Erik Mattson          (612)435-0040
DWC Consultants, Inc                        Adam Pozek            (651)204-2600
EACH Enterprise, LLC                        Eric Henon            (860)653-1705
Eldridge Investment Advisors                Sean Riley            (603)625-8559
Elliot Davis Investment Advisors, LLC       Kenneth Vilcheck      (846)288-2849
Ely Portfolios                              Guerdon Ely           (530)895-0636
Epsilon Financial Group                     Mark Sievers          (707)428-5500
ERISA Compliance                            Joel Shapiro          (800)959-0071
ERISA Compliance Associate                  Elinor Merl           (619)696-7284
ERISA Compliance Associates                 Elinor Merl           (619)233-3054
ERISA Fiduciary Advisors Inc                Brad Larsen           (866)606-4015
ERISA Fiduciary Advisors Inc                Thomas B. Bastin      (954)385-5331
Essex Financial Services                    James Sullivan        (860)767-4300
ETF Advisor K                               Greg Moerchen         (260)482-4573
Etzler Financial Advisors                   Matthew Etzler        (530)527-6761
fi360                                       Steve Rydzak           (412)221-0292
Fiducia Group                               Charlie Kennedy        (412)246-0759
Fiduciary Alliance LLC                      Mark Nicholas          (920)217-5398
Fiduciary Awareness Associates              Chris Westfall         (303)339-0896
Fiduciary Consultants, Inc                  Brian Goding           (314)822-4444
Fiduciary Foresight                         Janice Sackley         (269)323-8119
Fiduciary Partners Retirement Group         Denise Miller          (727)723-3676
Fiducirary Firewall                         Brian S. Lakkides      (800)754-9933
Financial Architects, Inc                   Mike Kucera            (888)466-5453
Financial Management Network                Amanda De La Riva      (949)455-0300
Financial Management Network                Curtis Farrell         (949)455-0300
Financial Management Strategies, Inc.       Jeff Knox              (216)642-1099
Financial Services Standards, LLC           Sharon Pivirotto       (412)977-9304
Freedom One Financial Group                 John Young             (248)620-8036
Galaria Capital Management                  Ibahim Galaria         (248)851-7733
Gallagher                                   Mike DiCenso           (630)773-3800
Gallagher Retirement Services               Greg Fischer           (605)545-3318
Gateway Investments, LLC                    Thomas Santucci        (516)240-1745
Gordon Asset Management, LLC                Joe Gordon             (866)216-1920
GPS Investment Advisors, LLC                Jamie L. Worrell       (866)703-4015
Granite Group Advisors                      Lyle Himebaugh III     (203)210-7814
Greenhill Partners                          Bob Higgins            (314)824-5258
Greenspring Wealth Management, Inc          Joshua P. Itzoe        (443)564-4600
Guided Choice                               Thomas Condron         (888)675-4532
Hackler Associates, Inc                     William Hacklet        (978)847-0140
Hahn Loeser & Parks                         Arthur Cobb            (216)274-2270
Halbert Hargrove                            Olivian Pitis          (562)435-5657
Harrison Fiduciary                          David Nolan            (617)273-8112
Harrison Fiduciary                          Mitchell Shames        (617)830-5771
Heacock Financial                           Kevin Transue          (863)683-2736
Heacock Financial                           Shawn McCabe           (888)520-7526
Hefren Tillotson, Inc.                      Neil Alexander         (412)338-8200
Hendricks & Associates, Inc                 Ed Hendricks           (775)674-6000
Hickok & Boardman Ret. Solutions            Shaun T. King          (802)488-8742
Holmes Murphy & Associates                  Jean Duffy Ulrichson   (800)247-7756
Horizon Investments LLC                     James Breen            (866)371-2399
HRG Noth America                            Gina Puppo             (917)886-7259
Ingham Retirement Group                     Todd Levy              (305)671-2200
Institutional Investment Consulting         Michael Kozemchak      (248)339-9808
Invesco                                     Kelley Reey            (203)767-0966
Invesco                                     Matt Foster            (713)214-5192
John Hancock                                Erik Niland            (617)572-6000
John Hancock                                Aylmer Magill
John Hancock                                Brandon Radach         (312)848-8028
John Hancock                                Bob Rafter             (914)707-1060
John Hancock                                Hillary Gove           (617)663-7672
John Hancock Financial Services         x   John Reynertson        (818)212-8199
John Hancock Funds                             Gene Huxhold            (847)224-9862
Katz & Company                                 Cindy Scheffler         (631)435-2700
Kobo Wealth Conservation & Family Office       Chris Schmeltz          (847)430-3601
Kraematon                                      Jeff Sutton             (781)431-1004
Lawley Courier Advisor                         James Rehak             (716)849-4361
Leerink Swann                                  Peter Belford           (617)918-4882
Legg Mason                                     Jeff Smith              (212)805-6763
Lincoln Financial Group                        Brian R. Smith
Lockton Investment Advisors, LLC               Shane Brethowr          (816)960-9525
Longfellow Benefits                            Dave Boucher            (617)351-6033
LPL Financial                                  Ryan Verdery
LPL Financial Services                         Richard R. Snowden      (979)846-4700
M.Griffith                                     Scott A. George         (800)950-1130
M3 Financial                                   Jerry Appleton          (800)272-2443
Matthew Hutcheson LLC                          Matthew D. Hutchenson   (503)380-3822
Mcginn Smith & Co                              Frank Chiappone         (518)348-0060
Medallion Group                                Nicholas Consoles       (603)601-0990
Meridian Fiduciary Consulting              x   Scott Dauenhauer        (949)916-6238
Mesirow Financial                              Chris Reagan            (847)681-2504
MFS                                            Craig Mckenna           (617)954-6901
Michael M. Kane and Associates                 Michael M. Kane         (678)916-3969
Mid Atlantic Capital Group                     Timothy Friday          (412)391-7077
MillenniuM Investments & Ret. Adv.             James Holland           (866)401-5477
Miller/Russell                                 Bradley Lemon           (602)617-7632
MJM 401k                                       Jenna L. Jacobsen       (602)224-5599
ML                                             Paul Murray             (617)946-4318
Moorestown Wealth Management Group             Kenneth J. Cappelli     (856)914-3488
Moreton Retirement Partners                    Chad Larsen             (303)385-2100
Morgan Keegan                                  Jason Cohn              (615)255-0600
Morgan Keegan -Strategic Alliance Group        Robert Shy              (800)764-3580
Morgan Stanley                                 Gary Hersh              (818)713-4790
Morgan Stanley -Smith Barney                   Keith Dressel           (866)828-5706
Morgan Stanley/Smith Barney                    Kellie Elder            (713)882-2328
Moss-Adams Wealth Advisor LLC                  Michael Altobell        (916)503-8171
Mosse and Mosse                                Tim Black               (508)251-2625
National Retirement Partners               x   Larry Deatherage        (858)551-4015
Nationwide                                     Don Jones
Natixis Global Asset Management                Tim Maher               (617)449-2653
Navigator Investments                          Todd Lindmark           (401)455-1230
New England Retirement Consultants, LLC        Jay Gepfert             (203)292-5434
New Wealth Advisors                            Scott Tuxbury           (401)862-3852
Newport Capital Group                          Varun Agnihotri         (732)741-8400
NH Hicks                                       Matt Rath               (530)891-4997
North Pier Fiduciary Management                Jim Scheinberg          (800)403-7065
North Pier Fiduciary Management                Doug Wood               (800)403-7065
Northwestern Benefits Inc                      David Test              (972)663-7265
Old Mutual                                     Scott Goldberg          (770)804-0229
oppenheimer                             Kevin Kelly
Oppenheimer & Co Inc                    Brian Murphy       (415)438-2903
Oswald Financial                        Scott Jones        (216)658-8544
Paradigm Capital Management             Gordon Sacks       (518)431-3261
Parsec Financial                        Neal Nolan         (888)877-1012
Patriot Pension Advisors via NRP        Ted Burke          (508)543-5700
Paul Massey & Associates                Paul Massey        (800)441-0415
Pelleton Capital Management Ltd         Charles Scott      (602)569-6126
Pen-Cal/Open Gate                       James Rothaus      (925)251-3443
PenChecks, Inc                          Peter Preovolos    (619)723-9195
Pension Consulting Alliance             Jeremy Thiessen    (503)226-1050
Pension Investors Corp. of Orlando      Karen Flynn        (407)478-0374
Pension Performance Advisors LLC        Howard Mazer       (949)831-6311
Pentegra Retirement Services            Jeff Hale          (404)917-6100
Piedmont Investment Fiduciaries         Kevin O'Neil       (703)729-8333
Piedmont Investment Fiduciaries         Mark Mensack       (856)528-9524
Planned Benefit Strategies              Kevin Harrington   (781)821-4482
Plante Moran Financial Advisors         Susan Shoemaker    (248)223-3722
Point Oak Advisors                      Mellisa Prokop     (301)358-2697
Positive Retirement Outcomes, LLC       Brian D. Dillon    (508)242-9912
Praxis Consulting                       Jeanine Calandri   (916)475-1640
Precept                                 Doug Ingel         (949)679-2173
Precept                                 Linda K. Bright    (949)679-2147
PRIME Solutions                         Jamie Linkowski    (412)341-6642
Prism Fund Solutions Inc.               Dan Edwards        (727)580-6006
Proteus                                 Peter Henry        (416)421-3557
Proteus                                 Marc Bilic         (416)421-3557
PSA Insurance and Financial Services    Jania Stout        (800)677-7887
P-Solve                                 Dan Desmarais      (508)620-7110
P-Solve                                 Ryan McGlothlin    (508)424-2576
PWA Financial                           David Gonsalves    (916)631-7887
QCI                                     Todd Cerami        (585)218-2013
QRPS                                    Peter Josselyn     (919)602-8664
Quest Financial Services                Roger Pikul        (845)341-1313
Rains Plan Group LLC                    Kirsten Curry      (206)388-4170
Raymond James                           John Bottiglia     (888)253-3664
Raymond James and Associates            Greg Olson         (866)571-4940
RBC                                     Bobby Leach
RBC Wealth Management                   Bryan Pedersen     (307)432-2432
Rehmann Financial                       Ryan Sullivan      (231)946-3230
Reish & Reicher                         Bruce L. Ashton    (310)478-5656
Reliance Investing, Inc                 Shane Weisman      (888)694-4015
Retirement Advisors                     Michael C. Perry   (972)383-1222
Retirement and Investment Consultants   Dave Ahrendt       (614)397-7094
Retirement Plan Consultants LLC         Tim Cowell         (402)239-9471
Retirement Plan Solutions               Pam                (262)641-0800
River North                             Chris Lakumb       (312)445-2266
Robert W Baird                         Gary Wright                 (330) 664-5500
Robert W. Baird & Co Inc               Bryan Fiene                (800)888-4792
Roland Criss Fiduciary Services        Brian Cressey              (949)525-7720
RPAG                                   Nick Della Vedova          (800)959-0071
RSI                                    Nate Trotman               (856)234-6111
Sage Point Advisor                     Terry Seely                (616)808-2307
Samplers Financial                     Peter Goodman              (973)744-1014
Searcy Financial Services Inc          Jessica Searcy Maldonado   (913)814-3800
Sequoia Financial Group                Stanley D. Milovancev      (888)225-3777
Shea Retirement Services Inc           Jill Shea                  (949)336-2432
Shepherd Kaplan LLC                    Ross Clary                 (617)896-1600
Smallwood Financial                    Cindy Hodges               (303)468-7700
Smallwood Financial                    Patterson McKinlay         (303)468-7700
Smart Investor                         Allan Henriques            (916)435-2100
Southeastern Fiduciary Services        Bert Carmody               (404)898-2096
SS&G                                   Mike Gheen                 (330)598-2208
Stable Two Financial                   Sandra Wagner              (800)817-6454
State Bank and Trust                   Kathy Eggiman              (800)450-8949
Steele Retirement Plan Services        Mary Patch                 (563)588-2097
Stonegate Wealth Management            Thomas J. Geraghty         (201)791-0085
Strategic Financial Partners           Jim R. Fredrick            (719)388-0277
Sun Trust Bank                         Rachel Roquel              (407)237-6934
Symmertry Partners                     Lorna Hallenback           (860)734-2057
The Financial Network Group            Dennis R. Horr             (513)469-7500
The PFE Group                          Fran Beecy                 (508)683-1400
The PFE Group                          Wayne Boenig               (508)683-1400
The Prosperity Consulting Group, LLC   Michael Riley              (410)363-7211
The Value Quotient                     Jessica Weiner             (626)836-9520
Thornhill Financial, Inc               Kristin Ehasz
Tillit Group                           Stewart Frank              (800)572-7574
Total Financial Resources Group Inc    Brad Creger                (626)795-9600
Tri-Star Trust Bank                    Jane L. Hagen              (989)921-0010
TSC INC                                Jennifer Arnson            (952)806-4385
UBS                                    Larry Mills                (310)772-7095
UBS                                    Mary Barneby               (203)719-9047
UBS                                    Jonathan Butcher           (800)222-1448
UBS                                    Mario Lepore               (248)637-0218
UBS                                    Paul Daiutolo              (585)218-4532
UBS                                    Jillian White              (201)352-6067
UBS                                    Todd Norton                (206)628-8602
Unified Trust Company                  Alan Thacker               (877)411-8781
Union Bank                             Susana Rivera Ryan         (213)236-6240
Valmark Securities, Inc                Michael A. Chisnell        (800)765-5201
Victory Fiduciary Consulting           Bud                        (800)938-0989
Vista Wealth Management                Michael Rogers             (408)961-6336
Walnut Street Securities               Jeffrey Gross              (609)737-5990
Welch Hornsby & Wlech                  Philip Anderson            (205)949-6052
Wells Fargo                                Tom Bivona            (860)368-6900
Wells Fargo                                Jill Greiner          (800)366-4785
Wells Fargo                                Matthew Monroe        (315)449-4344
Wells Fargo Advisors                       John V. Biedenstein   (314)955-5886
Wells Fargo Advisors                       Laura D. Kirkover     (314)955-4070
Wells Fargo Advisors                       Mark Ledonne          (513)985-2166
Wells Fargo Institutional Retirement & T   Edgar Utset           (609)738-3061
Westport Benefits Group                    Steven Parmelee       (203)227-3738
White Horse Advisors, LLC                  Stephen Griner        (678)322-3009
White Oak Advisors                         John Masterson        (317)218-1541
White Oak Advisors                                               (317)695-9722
William Gallagher Associates               Sharon O'Connor       (617)646-0381
Winslow, Evans, & Crocker, Inc.            Jeff Hall             (617)896-3517
Wolf Financial Management                  Marta (Tunia) Mycyk   (630)545-4770
                                           Allen Vauhan          (404)441-0064
                                           David Boone           (404)713-0247
                                           Paul Love             (301)564-2966
                                           Bob Lally             (609)865-2400
                                           James Reim            (814)833-0440
                                           Julie Braun           802) 652-6042
                                           Desiree Marciano      (585)507-2963
                                           Jeff Cross
                                           Jim Klomparens        (616)328-3983
                                           John Dixon            (310)820-2479
                                           Ross Marino           (877)401-5489
                                           Scott Swezy           (913)529-8454
City               Zip         State
Athens                         GA
Dallas                   75206 TX
Coral Springs            33065 FL

Holyoke                   1040   MA
Holyoke                   1040   MA
Campbell                 95008   CA
San Diego                92101   CA
Lawrenceville            30043   GA

                                 OK
Atlanta                  30339   GA
Bethesda                 20814   MD
Salt Lake City           84106   UT
Waltham                   2453   MA
Kennett Square           19348   PA

Great Barrington         1230    MA
Fort Worth              76107    TX
Redwood City            94062    CA
Natick                   1760    MA
Suwanee                 30024    GA
Nashville               37203    TN
Madison             537077398    WI
Walnut Creek            94596    CA
Johnson City            37615    TN
Lakeland                33801    FL
Boston                   2116    MA
Boston                   2116    MA
Edwardsville       62025-0668    IL

Menasha                 54952    WI
Irvine                  90064    CA
Albertville        35950-0030    AL
Bound Brook              8805    NJ
Irving                  92614    CA
Jersey City              7310    NJ
Charlotte               28203    NC

Boston             02109-1820  MA
Leawood                 66211  KS
Little Silver            7739  NJ
Red Bank                 7701  NJ
Coralville              52241  IA
                               New York
New York                 10006 NY
Souderton                18964   PA
Los Angeles         90015-2139   CA
Huntsville               35806   AL
Raleigh                  27609   NC
Overland Park            66210   KS
Altamonte Springs        32714   FL
Altamonte Springs        32714   FL
Totowa                    7512   NJ
Santa Cruz               95062   CA
Houston                  77057   TX
Houston                  77057   TX
Phoenix                  85016   AZ
Glen Allen               23060   VA
DeWitt                   48820   MI
Vienna              22182-2219   VA
Auburn                    1501   MA

Boise                    83702   ID
Boise                    83702   ID
Boston                    2110   MA
Lone Tree                80124   CO
Tulsa                    74135   OK
Montvale                  7645   NJ
Peabody                   1960   MA
Chapel Hill              27517   NC
Princeton                 8543   NJ
Newton                    6470   CT
Portland                 97204   OR
Newburyport               1950   MA
Chicago                          IL
St. Louis           63017-5734   MO
Birmingham               35223   AL
Minneapolis              55416   MN
Rosemount                55068   MN
East Granby               6026   CT
Manchester                3104   NH
Greenville               29607   SC
Chico                    95973   CA
Fairfield                94534   CA
Aliso Viejo              92656   CA
San Diego                92108   CA
San Diego                92108   CA
Weston                   33327   FL
Weston                           FL
Essex                     6426   CT
Forte Wayne              46815   IN
Red Bluff                96080   CA
Bridgeville              15017   PA
Pittsburgh               15276   PA
New York                 10036   NY
Greenwood Village        80111   CO
St. Louis                63131   MO

Clearwater               33761   FL
Waterford                48329   MI
Farmington Hills         48331   MI
Mission Viejo            92691   CA
Mission Viejo            92691   CA
Valley View              44125   OH
Pittsburgh               15241   PA
Clarkston                48348   MI
West Bloomfield          48323   MI
Chicago                          IL
Itasca                   60143   IL
Garden City              11530   NY
Durham                   27703   NC
Providence                2903   RI
Wilton                    6897   CT
St Louis                 63132   MO
Towson                   21286   MD
San Diego                92122   CA
Leominster          01453-1220   MA
Cleveland                44114   OH
Long Beach               90802   CA
Boston                    2116   MA
Boston                    2210   MA
Lakeland                 33801   FL
                                 TN
Pittsburgh           152223912   PA
Reno                     89505   NV
Burlington          05402-1064   VT
West Des Moines          50266   IA
Charlotte                28226   NC
NYC
Miami                    33156   FL
Bloomfield Hills         48302   MI
Atlanta             30309-2499   GA
Houston                  77046   TX
Boston                    2210   MA
Moseley                  23120   VA
Chicago


Glendale                 91203 CA
Hauppauge             11788 NY
Chicago               60631 IL
Boston
Buffalo                       NY
Boston                 2110   MA
Baltimore             21202   MD
Birmingham            35223   AL
Kansas City           64112   MO
Boston                 2116   MA

Bryan                 77802   TX
New Hartford          13413   NY
Madison               53713   WI
Eagle                 83616   ID
Clifton Park          12065   NY
Hampton                3942   NH
Laguna Hills          92653   CA
Chicago                       IL

Alpharetta            30009   GA
Pittsburgh            15222   PA
Charlotte             28226   NC
Phoenix               85018   AZ
Phoenix               85018   AZ
Boston                 2110   MA

Denver                80237 CO

Nashville             37215   TN
Woodland Hills        91367   CA
Paramus                7652   NJ
Houston           770086941   TX
Rancho Cordova   95670-6062   CA
Marlborough            1752   MA
La Jolla              92037   CA

Boston           02116-3305   MA
Providence             2903   RI
Boston                 2210   MA
Tewksbury              1876   MA
Red Bank               7701   NJ
Chico                 95973   CA
Culver City           90230   CA
Honolulu              96814   HI
                      75251   TX
Atlanta               30338   GA
Atlanta
San Francisco            94104 CA

Albany                   12207   NY
Asheville                28802   NC
Foxboro                   2035   MA
Dallas                   75248   TX
Scottsdale               85254   AZ
Pleasanton               94588   CA
La Mesa                  91943   CA
Portland                 97209   OR
Altamonte Springs        32701   FL
Aliso Viejo          926565301   CA

Cherry Hill               8003 NJ
Mt. Laurel                8054 NJ
Canton                    2021 MA

Bethesda                 20814   MD
Medfield                  2052   MA
Sacramento               95814   CA
Irvine                   92617   CA
Irvine                   92617   CA
Pittsburgh               15220   PA
St. Petersburg           33702   FL
Toronto             M3C 3G8      OR

Hunt Valley         21031-8622 MD
Framingham                1701 MA
Framingham                1701 MA
Rancho Cordova           95670 CA
Pittsford                14534 NY
Raleigh                  27616 NC
Middletown               10940 NY
Seattle                  98102 WA
Forte Wayne                    IN
Sioux Falls              57104 SD

Cheyenne                 82001 WY
Traverse City            49684 MI
Los Angeles              90025 CA
Portland                       PA
Dallas                   75244 TX
Point Clear              36564 AL
Norfolk                  68701 NE
Delafield                53018 WI
Chicago                  60654 IL
Akron                   44333   OH
Madison                 53717   WI
Trabuco Canyon          92679   CA
Aliso Viejo             92656   CA
Mt. Laurel               8054   NJ
                                MI
Montclair                7042   NJ
Overland Park           66213   KS
Akron                   44308   NY
Irvine                  92612   CA
Cypress                 77429   TX
Denver                  80237   CO
Denver                  80237   CO
Rocklin                 95765   CA
Atlanta                 30345   GA

Dallas                  75248   TX
Fargo                   58103   ND
Dubuque                 52001   IA
Fair Lawn                7410   NJ
Colorado Springs        80920   CO
Orlando                 32801   FL
Glastonbury              6033   CT
Cincinnati              45249   OH
Southborough             1772   MA
Southborough             1772   MA
Owings Mills            21117   MD
Sierra Madre            91204   CA
Strongsville       44136-6923   OH
Bringham Farms          48025   MI
Pasadena                91101   CA
Siginaw                 48602   MI

Los Angeles             90067   CA
Stamford                 6901   CT
Louisville              40241   KY
Troy                    48084   MI
Rochester               14625   NY


Lexington               40504 KY
Los Angeles             90071 CA
Akron              44333-2431 OH
Wenonah                       NJ
                              CA
Pennington               8534 NJ
                              AL
Glastonbury               6033   CT
West Des Moines         50266    IA
DeWitt             13214-        NY
St Louis                63103    MO
St Louis                63103    MO
Cincinnati              45236    OH
Charlotte               28202    NC
 Westport                 6880   CT
Atlanta                 30339    GA
Indianapolis            46240    IN
                        46240
Boston                    2210   MA
Boston                    2110   MA
Oak Brook          60523-1927    IL
Atlanta                 30338    GA
Atlanta                          GA
Bethesda                20817    MD
West Windsor             8550    NJ
Erie               16505-3691    PA
South Burlington         5403    VT

								
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