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NYCS Presentation December 2012

NYCS Team Presentation

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NYCS Presentation December 2012

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  1. The Best of All WorldsTop Tier Affiliation with Independence and Significantly Higher Payouts*December, 2012 Rakesh Khilnani New York Capital Strategies Managing Principal PIM Portfolio Manager Contact Information: (212) 496-4191 rkhilnani@wfafinet.com *Your personal payout will depend on your business mix and your specific cost structure which may vary

  2. Our Target Market • New York Metropolitan area advisors that have an interest in increasing their payouts • Advisors that recognize the value in affiliating with a top financial institution that delivers significant resources and has an attractive brand and platform for growing your business • Advisors that value the centrality and prestige of a Manhattan office and may want the flexibility to work how and where they want (remotely) • Advisors that would like to own their client relationships, desire a client-centric environment and value the opportunity of creating a succession plan that exactly suits their objectives

  3. Wells Fargo • Wells Fargo & Company is one of the nation's largest, strongest and most respected financial institutions. In business since 1852 and named on Fortune magazine's “World’s Most Admired Companies” list for 2009, 2010, 2011, and 2012. • Wells Fargo Advisors, a non-bank affiliate of Wells Fargo & Company, is the 3rd largest full-service provider of retail brokerage services in the U.S. with over 15,000 financial advisors.* • Wells Fargo Advisors Financial Network (WFAFN) is the only independent brokerage that is offered by any of the top 3 brokerages and provides industry leading support *Based on number of Financial Advisors. Data is a combination of Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC, First Clearing, LLC.

  4. New York Capital Strategies (NYCS) • NYCS is the only Wells Fargo Advisors Financial Network (WFAFN) office in Manhattan – providing turn key access • The Managing Principal of NYCS has been affiliated with WFAFN for over 11 years and has 20 years of industry experience • We have operated predominately as a discretionary fee-based advisory practice utilizing Wells Fargo’s ADV and have access to lending, trusts, investment banking, insurance - everything that Wells Fargo offers through affiliates • Advisors are compensated via tax-efficient 1099 vs. W2 and own their client relationships

  5. Fee-based Production WFAFN / NYCS Wirehouse Average $ 200,000 48% 33% $ 300,000 55% 37% $ 400,000 59% 42% $ 500,000 61% 43% $ 600,000 63% 44% $ 700,000 64% 45% $ 800,000 66% 46% $ 900,000 67% 46% $ 1,000,000 69% 48% Higher Payouts WFAFN / NYCS figures are estimated by NYCS using local costs. Wirehouse Averages were derived from data published by www.onwallstreet.com, Dec 2012. Your personal numbers may vary.

  6. Office • “A” grade office space at 200 Park Avenue, directly above Grand Central Station in the Met Life building • State-of-the-art offices and conference rooms with high end décor and Knoll furnishings

  7. WFAFN / NYCS’ Value Proposition • Top tier financial institution affiliation, branding and support • Higher payouts than other wirehouse firms • High-end Manhattan location with remote-work flexibility • Ownership of client relationships with a pressure-free environment • Turn-key access without the hassles of running a branch

  8. Disclosures Wells Fargo Advisors is the trade name used by two separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company: Wells Fargo Advisors, LLC, and Wells Fargo Advisors Financial Network, LLC (Members SIPC). First Clearing, LLC, (Member SIPC) is a separate broker-dealer and non-bank affiliate of Wells Fargo & Company Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). New York Capital Strategies (NYCS) is a separate entity from WFAFN. WFAFN recognizes and values the diversity of its employees, customers and business partners. WFAFN is an Affirmative Action and Equal Employment Opportunity Employer M/F/D/V.

  9. Contact Us For More Information Rakesh Khilnani New York Capital Strategies Managing Principal PIM Portfolio Manager Office - (212) 496-4191 Email - rkhilnani@wfafinet.com

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