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Capstream Overview A Presentation to Clients and Business Partners

Capstream Overview A Presentation to Clients and Business Partners. August 2006. Capstream Inc. Capstream Inc. provides operating solutions and business support services to Canadian wealth management firms

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Capstream Overview A Presentation to Clients and Business Partners

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  1. Capstream Overview A Presentation to Clients and Business Partners August 2006

  2. Capstream Inc. • Capstream Inc. provides operating solutions and business support services to Canadian wealth management firms • Capstream principals have significant operating and technology expertise and strong relationships across the Canadian wealth management spectrum • Capstream provides its solutions and services in conjunction with strategic partners and proven suppliers • Capstream is a privately owned Canadian corporation CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 2

  3. Capstream Mission Capstream’s mission is to enable and elevate the offerings of Canadian wealth management firms Enable • Tailor solutions to remove traditional operational barriers to entry for independent firms and promising start-ups • Ensure that solutions put forward are aligned to our client’s strategic goals • Allow our clients more time to focus on their core competencies Elevate • Provide the solutions and expertise to help our client differentiate product and service offerings • Look for opportunities to enhance the quality of our client’s offering CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 3

  4. The Changing Support Environment • Rapid technological advancement and standardization has enabled the development of smaller, more flexible service providers to the wealth management industry • The emergence of smaller service providers has further commoditized many of the support components, eroding many of the traditional barriers to entry that existed only a few years ago • It is now possible to integrate the various operational support components required to run a wealth management firm into a comprehensive, cost-effective solution CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 4

  5. Why We Exist • We believe that many wealth management firms are not well-served by the large, traditional service providers. There is an opportunity to present a more comprehensive, cost-effective support offering using specialized, integrated operational and technology providers • Capstream has an important role to play in identifying, validating and implementing an integrated network of specialized operational and technology service providers • Capstream can provide the required expertise to assist firms through their most important operational initiatives CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 5

  6. Our Business Model • Partner with prominent providers of business strategy and advisory services to wealth management firms • Provide operating solutions and ongoing support through a network of flexible, proven providers • Provide business support services through a network of senior subject matter experts CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 6

  7. Capstream Operating Solutions • Customer Relationship Management (“CRM”) powered by salesforce.com, a leading CRM platform provider • Document Management provided through AJD Data Services, a leading electronic image storage provider • Investment Fund Support, including fund valuation and transfer agency services provided by KeiDATA BackOffice Solutions • Data Management services provided through partnership with AJD Data Services and mBOS Systems CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 7

  8. Capstream Business Support Services • On a fixed-cost project basis, Capstream will provide: • 1. Project Management • 2. Operations Outsourcing Management • 3. Process Design and Re-engineering • 4. Technology Implementation • 5. Operations and Technology Strategy • 6. Vendor Selection Management CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 8

  9. Target Market for Capstream Services • IC/PM firms • Exempt product sponsors (e.g. Family Offices) • Mutual fund sponsors • Non-bank IDA firms • MFDA dealers CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 9

  10. Strategic Partnerships • Capstream will work closely with HighView Financial Group Inc. to provide comprehensive solutions to Business Partners • HighView will rely on Capstream to deliver and operate required infrastructure components for wealth management firms and programs CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 10

  11. HighView Financial Group Inc. • HighView Financial Group provides strategic solutions and expertise to the independent Canadian wealth management industry • HighView principals have directed strategy at some of Canada’s largest wealth management firms • HighView’s underlying businesses are focused in three core areas: Strategy, Support and Capital • www.highviewfin.com CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 11

  12. Target Business Partners Capstream will provide solutions, services and sales support in conjunction with the product and service offerings of: • Custodians • Trust Companies • Product/Program Designers • Back Office Service Providers • Technology Providers • Professional Services Firms CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 12

  13. Value Proposition to Business Partners • Capstream/HighView services can be white-labeled as part of a product or service offering put forward by a Business Partner • Capstream will take responsibility for the identification, implementation and ongoing functioning of key operational components • Capstream can introduce its network of relationships to offerings in which it participates CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 13

  14. Contact Us CAPSTREAM OVERVIEW | PRESENTATION TO CLIENTS AND BUSINESS PARTNERS 14

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