E MERGING L EADERS A CADEMY

1. EMERGING LEADERS ACADEMY WORLD CLASS TRAINING:GETTING YOUR FIRM ON TRACK PRESENTED BY SAM M. ALLRED, FOUNDER & DIRECTOR OF UPSTREAM ACADEMY PRESENTED BY SAM ALLRED DIRECTOR OF UPSTREAM ACADEMY

2. With the coming flood of retirements, leadership development is a huge issue in firms across our profession. One of my concerns for our profession is that we have not taken seriously enough the responsibility to adequately prepare our future leaders.

3. Most leadership programs in and out of our profession, share these weaknesses: 1) They ask too little of participants 2) They create a disconnect from the firm 3) The learning experiences happen in big doses several times a year 4) They focus more on doing than becoming 5) They are expensive

4. We believe firms should be doing most of their own leadership training. The challenge is that while firm leaders sincerely desire to provide such training, many lack the capacity to develop their own professional leadership training program.

5. Emerging Leaders Academy (ELA) began in 2007 and is currently helping over 140 firms deliver world-class leadership training to over 500 emerging leaders within their firms. The program has beenvery successful.

6. Principles of leadership development Overview of Emerging Leaders Academy Key dates Questions and answers PRESENTATION ROADMAP

7.  PRINCIPLES OF LEADERSHIP DEVELOPMENT

8. Learning must be continuous, delivered in digestible doses throughout the year There needs to be a strong emphasis on becoming a better leader FOUNDATIONAL PRINCIPLES

9. Much of the training needs to be done by current firm leaders Each participant needs to have a guide and each firm needs to have an ELA advocate FOUNDATIONAL PRINCIPLES

10. Individuals must be able to apply what they learn on a daily basis The program should be appropriately demanding of the participants and should stretch their abilities FOUNDATIONAL PRINCIPLES

11. The learning experience must be easily customizable to meet individual and firm needs The progress of each individual must be measurable FOUNDATIONAL PRINCIPLES

12. The program must be affordable and require minimal travel Participants need to be able to network with other emerging leaders FOUNDATIONAL PRINCIPLES

13.  OVERVIEW OF EMERGING LEADERS ACADEMY

14. 1. PERSONAL GUIDES Each ELA participant needs to have a guide. Each firm can benefit from an ELA advocate. The guide should be a respected leader in the firm. A partner may guide more than one participant.

15. The guide will work with the participant throughout the program and will help the individual set and accomplish goals and complete assignments. Upstream Academy will provide guidance and support for ELA guides and advocates.

16. The guide’s primary role is to hold the participant accountable for accomplishing tasks, goals and assignments throughout the three-year program. The ELA advocate’s primary role is to administrate the program within the firm.

17. 2. LEADERSHIPDEVELOPMENTGOALS Leadership skills are best learned by doing. Each year, participants will set and accomplish goals in these areas: 1. Business Development2. Client Management3. Personal Effectiveness4. Team Development5. Leadership Development

18. Upstream will provide a list of goals each year. Participants will complete the mandatory goals as well as select from a menu of other goal choices in each area. Guides will work closely with participants, helping them select proper goals and holding them accountable for accomplishing those goals.

20. 3. LEADERSHIP TRAINING FORUMS During each year of the program, one-hour webinars led by Sam Allred and Tim Bartz will provide a forum for discussing key principles of leadership. Participants will receive thePowerPoint, questions to consider, and other materialsin advance of each presentation.

21. We will record each Leadership Training Forum and participants will have access to the presentation online after the webinar via the Online Progress Tracking (OPT) system. The following slides list the topics for each year’s Leadership Training Forums.

22. LEADERSHIP TRAINING FORUMS: YEAR ONEPersonal Effectiveness & Client Management • Using Time Wisely: Key Principles of Time • Management, plus an overview of the Emerging • Leaders Academy program • Personal Integrity: A Key Component of Great Leadership • Capitalizing on Personal Strengths and Talents • Performing Damage Control for Areas of Personal Weakness • Setting and Accomplishing Worthwhile Goals • Basic Contributions to the Firm: Budgets, Billings, Collections and Ideas • Client Management: Selecting and Keeping the Right Clients • Moving From Historian to Trusted Advisor • Providing Exceptional Client Service • Helping to Make Client Transitions Successful

23. LEADERSHIP TRAINING FORUMS: YEAR TWOTeam Development & Business Development • Learning to Give and Receive Constructive • Feedback, plus an overview of Year Two • Effective Delegation: How Leaders Help Others • Grow • Conducting Effective Performance Evaluations • Principles of Effective Coaching • Dealing Effectively With Underperformers • Avoiding the Bandwagon: Examples of Leadership Courage • Business Development: Getting Better Every Day • Committing to a Personal Business Development Plan • The Proper Way to Build a Business Network  • Becoming a Recognized Expert

24. LEADERSHIP TRAINING FORUMS: YEAR THREELeadership & Financial Management • Becoming a High Yield, Low Maintenance Firm Member • The Importance of Personal Example: Acting Like a Leader • Avoiding the 10 Worst Habits of Otherwise Good Leaders • Understanding and Improving Firm Processes • The Proper Way to Approach Strategic Planning • What all New Partners Need to Know and Understand • Your Role in Improving Client Payments • Benchmarking Statistics for High Performance Firms

25. 4. LEADERSHIP PROJECT Each year, participants will complete a challenging leadership project that satisfies one or more goal requirements and allows individuals or teams of emerging leaders to further develop important skills.

26. A good project should . . . • Stretch the participant’s abilities • Be specific • Benefit the firm • Be measurable • Have a timeframe

27. A goal will stretch abilities if . . . • It hasn’t been done before • It’s something that is not easy to do • It’s something that wasn’t already going to be done in the normal course of things • It will take the participant’s best effort • It pushes the participant to the edge of his/her comfort zone

28. 5. MEASURED PROGRESS Upstream Academy will provide tools (including a web-based “members only” page) for participants, guides and advocates that will allow them to track progress on goals and projects throughout the year, network with other program participants and stay connected.  

29. Each participant, guide and ELA advocate will be given a unique log-in ID allowing access to information relevant to their role within the program.  Firms will also receive guidance on best practices for creating an efficient process in-house to help their emerging leaders grow during this three-year period.

30. To help participants stay organized and on track, all materials relating to the program will be available in the Online Progress Tracking program. All participants, guides and advocates will be able to access this information.

31. To help guides stay organized and on track, all materials relating to the guide program will be will be available on the Online Progress Tracking program.

32. 6. NETWORKATAMAJORUAEVENT Networking with peers in a stimulating group environment is an important experience for all professionals, and especially for future firm leaders. Program participants will have the option of attending one of six key UA events each year. Year One ELA participants are encouraged to attend one of the four identical Emerging Leaders Conferences.

33. Emerging Leaders Conference BSeptember 27-28, 2016  San Antonio, Texas Emerging Leaders Conference CSeptember 29-30, 2016  San Antonio, Texas Emerging Leaders Conference D January 10-11, 2017  Las Vegas, Nevada Emerging Leaders Conference E January 12-13, 2017  Las Vegas, Nevada HeadWaters Leadership Conference 2016July 14-15, 2016  Denver, Colorado BestPractices Conference 2016October 27-28, 2016  Chicago, Illinois

34. 7. EXPERIENCED CONSULTANTS Sam Allred and Tim Bartz, the founders of Emerging Leaders Academy, bring many years of experience to this exciting program. Each will play to his strengths in helping you train the next generation of leaders in your firm.

35. 8. UNCONDITIONAL GUARANTEE Like everything we do at Upstream Academy, this program is unconditionally guaranteed. If you are not completely satisfied, we will, at your option, either waive your fee or accept that portion of the fee that reflects your level of satisfaction.

36. 9. CPE Upstream Academy will recommend CPE credit based on the level of participation in this course.

37. 10. INVESTMENT Before May 15, the investment for each participant is $3,000 per year ($2,500 for UAN members). After May 15, the price is $3,250 ($2,750 for UAN members). This fee represents the total annual cost of the program, including the participant’s registration at the annual event. The only additional cost will be travel, lodging and meals at the event.

38.  KEY DATES

39. KEY DATES Deadline to Register — May 15 Leadership Training Forums (9am Mountain, 11am Eastern) June 24 – Using Time Wisely: Key Principles of Time Management July 1 – Personal Integrity: A Key Component of Great Leadership August 22 – Capitalizing on Personal Strengths and Talents September 23 – Performing Damage Control for Areas of Personal Weakness October 21 – Setting and Accomplishing Worthwhile Goals November 14 – Basic Contributions to the Firm: Budgets, Billing, Collections and Ideas December 16 – Client Management: Selecting and Keeping the Right Clients January 20 – Moving from Historian to Trusted Advisor February 6 – Providing Exceptional Client Service May 1 – Helping to Make Client Transitions Successful Intro Webinar for New Guides – July 1 at 11am Mountain (1pm Eastern) Guide Webinars (9am Mountain, 11am Eastern) July 11, 2016 October 31, 2016 January 23, 2017

40. Emerging Leaders Conference BSeptember 27-28, 2016  San Antonio, Texas Emerging Leaders Conference CSeptember 29-30, 2016  San Antonio, Texas Emerging Leaders Conference D January 10-11, 2017  Las Vegas, Nevada Emerging Leaders Conference E January 12-13, 2017  Las Vegas, Nevada HeadWaters Leadership Conference 2016July 14-15, 2016  Denver, Colorado BestPractices Conference 2016October 27-28, 2016  Chicago, Illinois

41.  QUESTIONS AND ANSWERS

42. Thank You! sama@upstreamacademy.com