2013 ENTERPRISE CONFERENCE AGENDA SUNDAY, NOVEMBER 3, 2013 6:00pm - 7:30pm - Cocktail Party and Reception in Exhibit Hall

DAY ONE: MONDAY, NOVEMBER 4, 2013 GENERAL AND BREAKOUT SESSIONS 7:15am 8:00am - Breakfast in Exhibit Hall 8:00am 8:15am - Conference Welcome By Joel Bruckenstein, Bill Winterberg and David Drucker 8:15am 9:15am - General Session: MoneyGuidePro: The Future of Financial Planning -- and Why It Should Really Matter to You Brief Description: Investors want, need and deserve quality financial plans, and rapid advances in technology are expanding their choices of where and how to get them. To keep and expand their client relationships, every financial services firm will need an integrated advice delivery platform to provide financial planning to every market segment using multiple delivery methods. Bob Curtis will discuss his view of the future of planning and the opportunities and risks it will create for your firm. He will be joined by Patrick OConnor, who will explain how his firm, Raymond James, has successfully implemented a major new advice-driven strategy which is quickly creating greater value for their advisors. Your clients are expecting more and better advice. If you dont provide the planning they want, someone else will. Presenters: Bob Curtis, Founder, President and CEO, PIEtech Inc. and Patrick O'Connor, Raymond James 9:20am 10:20am - General Session: Redtail: Integrating Big Data into the Enterprise Brief Description: For enterprises such as yours, data (or information) is arguably one of your most important assets. Redtail is introducing analytics for BDs and Institutions, built upon a scalable and extensible information foundation, which will allow you to analyze and act upon all the big data being created by your advisor firms. Brian McLaughlin will discuss how these new analytics will assist you with identifying opportunities and practice development. Presenter: Brian McLaughlin, CEO/CTO 10:30am 11:30am - Break with Sponsors in Exhibit Hall 11:40am 12:10pm - Breakout Sessions Track One - Laserfiche: Straight-Through Processing: Efficiency through Integration Brief Description: Join us for this interactive session to learn how you can achieve straight-through processing by automating paper-intensive processes like new account opening. We will show how Laserfiches seamless integrations with your CRM, Laser App and DocuSign create automated workflows that clear away paper stacks and eliminate hours of data entry, reentry and NIGO forms. By integrating your technology solutions, you are able to create enormous efficiencies by letting these technologies drive your process and take care of the paper-pushing, while also creating a central document archive that forms the foundation of a best practice books and records environment. Well also discuss how your advisors and back-office staff can go mobile by submitting and signing new account forms or executing compliance approvals from your mobile device! Presenter: Jeffrey Green, Director of Laserfiche Solutions Group Track Two - Pershing/Albridge: Technology Options That Enable Advisory Business Brief Description: The demographic shift from boomers to millennials over the next decade will have profound implications for the types of technology solutions that broker-dealers will have to deliver to both advisors and investors. This session will discuss the implications of the shift and how Pershing and Albridge are approaching the challenge. Presenters: Patrick Yip, Director, Technology Strategy & Product Management and Analysis, Pershing, and David McClellan, Director, Strategy & Execution, Albridge 12:20pm 12:50pm - Breakout Sessions General Session: XTRAC Solutions: A Great Problem to Have: Keeping Pace with Growth Brief Description: Business growth can be more of a curse than a blessing for financial services companies if your operations department is not able to meet the greater demands and customers begin to experience service issues. In this session, hear how one firm worked with XTRAC Solutions to evaluate their workflow, identify inefficiencies and overhaul their processes to bring their back and front offices up to speed with their fast-paced growth. The result was operational efficiencies that helped the company keep costs in check, which freed up capital to invest in other parts of the business, and improve client experience, which prompted more customer referrals.

Presenter: William Lathram, XTRAC Solutions Vice President of Sales 1:00pm - 2:30pm - Lunch with Sponsors in Exhibit Hall 2:40pm 3:10pm - Breakout Sessions Track 1A - AdviceIQ: How Broker-Dealers use AdviceIQ to promote the digital brands of their Advisors Brief Description: A growing number of BDs, including IBDs, Wires, and RIA Custodians are using AdviceIQ to enable their advisors to digitally promote their brands to local potential clients, as well as leverage the other marketing tools in the platform. In this brief session, SVP of AdviceIQ Sales, Ian Ferlanti, will demonstrate how AdviceIQ enables a broker dealers marketing and compliance departments to seamlessly and safely empower their advisors to promote their individual brand in many popular media web sites, as well as use the AdviceIQ reprints, certification, and publishing assets to grow. Presenter: Ian Ferlanti, SVP of Enterprise Sales

Track 1B - Advisor Websites: How Broker-Dealers Can Build a Digital Marketing Strategy That Will Help Their Registered Reps Succeed Online Brief Description: This session will teach Broker Delaers how to build a digital strategy that: Will provide industry insights on how leading organizations are succeeding online Learn how to help your advisors acquire new clients and retain existing clients How to measure your digital impact Presenter: Bart Wisniowski Track 2A - Advisors Assistant: Using an Enterprise CRM to Increase Productivity Brief Description: Learn how an Enterprise CRM can increase revenues by helping you harness the power of client data, while you increase efficiencies by resolving challenges encountered at the Broker Dealer or Organization level. Presenter: Shannon Dempsey, Vice President of Sales Track 2B - Copytalk: Mobile Dictation Services The Opportunities and The Challenges Brief Description: This session will focus on the research into efficient solutions for financial advisors with respect to mobile dictation services. Dr. Lawrence will briefly review his white paper, commissioned by CopyTalk, that explores comparisons of various software and service solutions with a focus on how advisors can increase the efficiency of their dictation (note taking, etc.) with a reduction of overall costs. During Q&A, he will be joined by Copytalk CEO Maree Moscati and Exec. Dir. Baird Juckett. Presenter: Dr. David L. Lawrence, Founder and President, EfficientPractice.com 3:20pm 3:50pm - Breakout Sessions Track 1A - Croesus: How We Manage $400B AUM On Our Cloud Portfolio Management Software Brief Description: Croesus was founded 25 years ago and has 9000 users. It is one of the first companies to build a SaaS product 15 years ago. Please join us to learn about how Croesus built a secure, scalable and comprehensive portfolio management and integrated CRM software. Presenter: Vincent Guyaux, Vice President of Business Development Track 1B - inStream Solutions: Build a Better Business, Strengthen Your Client Relationships, and Be Home by Dinner Brief Description: How advisors can use technology to manage their wealth management practice and build a better business, strengthen their client relationships, and be home for dinner. Presenter: Alex Murguia, CEO Track 2A - Junxure: Junxure Cloud CRM: Junxure has been an industry leader in CRM solutions for advisors for over 10 years, with over 1,400 client firms, over 10,000 users and a 96% client retention rate. Brief Description: Join Junxure guru Robert DeFrancis for an overview of the benefits the Junxure Cloud platform can provide to your enterprise, including: ! Efficiency: Junxures workflow management can help systematize the best practices found in top financial advisory firms ! Productivity: Junxures business intelligence tools make sure the right person does the right task at the right time ! Growth: Junxures business development tools will help you manage new client opportunities and boost revenues ! Service: Junxure keeps advisors and their well-served clients happy Presenter: Robert DeFrancis, Director of Sales Track 2B - LaserApp: The Death of Data Re-Entry Brief Description: Broker-dealers spend hours each day reentering form data into both their back office systems and their imaging solutions. This reentry causes high NIGO, increased expense and time delays that can all be avoided by leverage existing data. Broker Dealers have access to normalized data today that they dont even realize. Presenter: Robert Powell, Vice President, Sales & Marketing 4:00pm 4:30pm - Breakout Sessions Track 1A - Thunderhead.com: Are RIAs Focusing on Regulatory Compliance at the Cost of Customer Experience?

Brief Description: With financial services firms having to comply with new legislation, more focus is given to regulatory compliance. At the same time, they have to address the needs of empowered customers. Striking the balance between what can sometimes appear to be opposing forces has become a challenge for most financial institutions. In this 15-minute breakout session, new approaches to customer experience management will be discussed, which can help build revenue opportunities and at the same time, maintain regulatory compliance. Learn more about key areas and recommended activities that firms need to focus on to increase customer engagement. Presenter: Darshan Chandarana, VP, Product and Industry Marketing Track 1B - Vestorly: Gathering Retail Clients through Smart Data: The Vestorly Secret and How It Was Uncovered Brief Description: Vestorly delivers the advisor new qualified clients from routine online behavior. Until now, advisors have seen little or no ROI from online marketing activities like social media, blogging, email newsletters, and static websites. The brainchild of Fisher Investments and JP Morgan alumni, Vestorly uses smart data and meaningful engagement to deliver business intelligence so advisors can better serve clients while accelerating new client acquisition, and finally see some ROI. Regardless of the marketing and compliance tools an advisor may use, Vestorly's engagement algorithms will deliver qualified prospects from the networks of their clients, and automatically qualify interest and suitability through machine learning technology. At T3, Vestorly will make the case for advisors, and the enterprises that support them, to "stop marketing" and leverage smart data within their existing client base. Presenter: Justin Wisz, Co-founder, CEO of Vestorly Track 2A - Zywave: Revolutionize how you plan with NaviPlans newest features Brief Description: Zywaves NaviPlan Premium v14 release (Fall 2013) showcases a modern user interface, cash flow enhancements, and next generation client reporting to take your client plans to the next level. Presenter: Linda Strachan, Ph.D., CFP, Senior Vice President Track 2B - Orion: How Best of Breed Technology is Revolutionizing Advisor Efficiency Brief Description: Learn how advisors now have more quality options than ever to build a best of breed back office suite to gain efficiency, scale, and freedom to focus on what matters most to their businesses. Presenter: Todd McMullen, Vice President of Business Development 4:40pm 5:10pm - Breakout Sessions Track 1A - Morningstar: How Integrated Solutions Drive Growth for Do-it-Yourselfers, Outsourcers, and Everyone in Between Brief Description: : In a competitive environment, broker/dealers are relying on integrated solutions to fill practice gaps while working to develop client relationships. Increasingly, advisors are turning to third-party investment managers, freeing up time for client management and relationship building. Whether your advisors act as portfolio managers, outsource this function, or end up somewhere in between, there are solutions that can help increase efficiencies and drive better investing outcomes for clients. This session will provide insight on industry trends, identify opportunities to drive growth, and showcase new integrations that tie everything together. Presenter: Nicholas VanDerSchie, Head of Advisor Solutions, North America Track 1B - Envestnet: Using Big Data to Strengthen Your Practice Brief Description: Envestnet Intelligence gives advisors tools to manage theirpractices more effectively. New enhancements, such as Advisor Composite Reporting,new business performance analytics give advisors deeper insights into theirfirms while a new real-time communication portal will allow advisors tocommunicate portfolio changes quickly to their clients. Presenters: Mike McGowan, Senior Vice President, Strategic Business Development, Envestnet and Andrew Stavaridis, Managing Director, Envestnet Track 2A - MacroRisk Analytics: Understanding and Managing the Economys Influence on Portfolios Brief Description: Find out how MacroRisk Analytics helps satisfy regulatory requirements to identify & document the economys impact on assets and portfolios. We will demonstrate how our innovative Asset Replacement Tool can be used to find optimal replacement funds while maintaining asset allocation, and well show how MacroRisk is the only risk management platform to fully address the Five Risks faced by long-term investors. Presenters: Mike Phillips, Chief Scientist & CEO and Phil Hahn Director of Marketing and Sales Track 2B - Advisor Software Inc.: Salesforce users rejoice: Create (financial) plans without leaving your CRM Brief Description: A new Salesforce AppExchange app, goalgamiPro on Salesforce, allows Salesforce users to persist client goal data as part of the Salesforce household account record and generate financial plans from within the CRM. This session will demo the application the deepest integration of planning and CRM technology possible. Presenter: Neal Ringquist, President & COO 7:00pm 10:00pm - Monday Night Football Party (dress casual)

DAY TWO: TUESDAY, NOVEMBER 5, 2013 GENERAL AND BREAKOUT SESSIONS

7:15am 8:00am - Breakfast in Exhibit Hall 8:00am 9:00am - General Session: MoneyGuidePro and Redtail 9:05am 10:05am - General Session - Panel Discussion on Broker-Dealer Technology 10:15am - 10:45am - Breakout Sessions Track 1A - Wealthbase & Wealthbox CRM: Disrupt the Robots with 2 New Apps in Online Engagement to Develop New Clients and Keep it Human Brief Description: Worried about robo-advisors? Fight back and attend the exclusive preview demo of the Wealthbase, a multimedia question-and-answer engagement platform that connects consumers with advisors, with ease, compliance, and humanity. Also learn how to manage prospects and clients with the private-beta launch at T3 of Wealthbox CRM, a new social CRM for financial advisors with a Facebook-style "activity stream" to collaborate with your team and a video meetings feature to connect face-to-face with your clients. Wealthbase and Wealthbox, standalone yet complementary apps, are developed and operated by Gotham Tech Labs, Inc., in New York City. Presenter: John Rourke, Founder & CEO, Gotham Tech Labs, Inc. Track 1B - HiddenLevers: Policy Risk is the New Black Brief Description: The volatility this autumn is just more evidence of the new normal. Uncertainty about monetary and fiscal policy is the biggest driver of markets now, and poses the greatest threat to investors. From the Feds bond purchasing program, to Japans copycat QE, to congressional gridlock policy risk is the new black. HiddenLevers is a portfolio stress testing software toolkit that can help PMs deal with these realities, and help asset gatherers speak to these issues directly, turning risk into a profit center. Presenter: Raj Udeshi, Co-Founder Track 2A - Ycharts: Creating the Financial Terminal of the Web Brief Description: YCharts CEO Shawn Carpenter will be discussing the creation of a web based financial terminal. He will do this by discussing current market and equity trends utilizing only charts generated from the YCharts Terminal - a web based platform with deep equity and economic data. This is a presentation on Data not Opinion. Presenter: Shawn Carpenter, CEO Track 2B - Total Rebalance Expert: Cutting Edge Rebalancing Brief Description: Multiple studies of advisor productivity have shown that the number one area for efficiencies is in portfolio rebalancing. However, the majority of advisors are not using an automated system to rebalance portfolios, often relying on manual processes and spreadsheets. This leads to a very inconsistent approach to portfolio management, compliance issues and lost opportunities for superior tax-efficient investment management. When asked why advisors havent embraced automated rebalancing, their frequent answers are that the systems available are too complicated, expensive, hard to use and dont have the features they need. That all changes with TRX. In this session, well cover these issues and document the benefits (over half a million in incremental revenue!) the average advisor is seeing after deploying TRX. Also, well be raffling off an iPad mini to attendees, so you dont want to miss it! Presenter: Sheryl Rowling, CEO 10:55am 11:25am - Breakout Sessions Track 1A - PaperClip Inc.: Experience the Dynamics of Change the Paperless ROI Brief Description: PaperClip will walkthrough an Insurance Company and its Broker Dealer that set a goal to go paperless and did it, in one year. Understand the foundation of a successful transition to eliminate paper from entering the process, how they expanded what they had and leveraged hosted services to capture, retrieve, exchange and meet compliance. See how their top down roll out smoothly transitioned them away from paper filing and processing without significant workflow changes. Motivated for a processing and culture change away from paper today is obvious. Saving a dollar a page by going electronic puts money back into the ROI process and stops the cost of just managing paper. Through innovative solutions, PaperClip helps customers solve operational problems and reduce overhead associated with the capture, management, transmission, and storage of paper, images, faxes and reports. Here, companies can finally eliminate paper from their environment, without giving up current business processes, without replacing computer systems, and without undertaking lengthy technology deployments. Established in 1991, PaperClip Incorporated develops and markets products and services that enable document management with effective communications within a company and with trading partners. Presenter: Suzy Tuck, Vice President of Sales Track 1B - TD Ameritrade: Brief Description: Presenter: Track 2A - SunGard: Providing a financial planning experience to more clients efficiently and profitably

Brief Description: Wealth and advisory firms are finding that they can garner more wallet share and greater client retention from customers that have a financial planning experience. SunGard invites you to learn about CompAct, a new multi-concept planning tool that allows financial professionals to produce holistic financial plans quickly and interactively. This new financial planning tool helps increase advisor adoption, expanding their reach to more clients by delivering client-friendly financial plans that simplify complex information, presented in visually-appealing reports that are more meaningful to the clients. Presenter: Dave Wiser, Senior National Sales & Account Executive Track 2B - Fidelity Investments: Driving the Best Platform User Experience Brief Description: National Financial, a Fidelity Investments Company is focused on delivering an innovative, industry-leading technology platform providing the best user experience. This session will highlight how this single platform enables your home office, advisors and clients collaborate seamlessly through flexible Integration and mobile capabilities. Come get a glimpse into National Financials overall platform strategy and new reporting technology. Presenter: Jay Falkner, Vice President, Platform Consulting 11:30am 12:30pm - Break with Sponsors in Exhibit Hall 12:30pm 1:30pm - Lunch with Sponsors in Exhibit Hall 1:40pm 2:10pm - Breakout Sessions Track One - Laserfiche: Make Following the Rules Easy: Using Workflow to Automate your Back-Office Brief Description: Not ready for full straight-through processing just yet? You can still take a step towards efficiencies by automating your back-office. In todays climate of ever-changing regulatory requirements, increased audit frequency and the need to keep track of more documents at every point of business, staying truly compliant and competitive is getting harder for broker dealers. Join us for this interactive session on how some broker dealers are using new technology to make compliance even easier than before. Well outline how workflow automation, combined with document management technology enables a culture of compliance and automates process such as new account opening to create cost-saving efficiencies. Presenter: Jeffrey Green, Director of Laserfiche Solutions Group Track Two - Pershing/Albridge: Technology Options That Enable Advisory Business Brief Description: The demographic shift from boomers to millennials over the next decade will have profound implications for the types of technology solutions that broker-dealers will have to deliver to both advisors and investors. This session will discuss the implications of the shift and how Pershing and Albridge are approaching the challenge. Presenters: Patrick Yip, Director, Technology Strategy & Product Management and Analysis, Pershing, and David McClellan, Director, Strategy & Execution, Albridge 2:20pm 2:50pm - Breakout Sessions General Session: XTRAC Solutions: Process Automation as a Competitive Advantage Brief Description: Thorough, trackable and transparent processes are a must in financial services. But over time processes can get watered down or out-of-date. The workflow that worked 10 years ago or even last year may not be suited to the firms current structure, new regulations or growing size. With more than 70 financial services clients and 20 years of experience serving the financial services industry, XTRAC Solutions has seen first-hand how refreshing or in some cases completely overhauling a firms workflow can bring immediate benefits to the bottom line and create the foundation for long-term success. In this session, XTRAC will share the common pitfalls often hiding in established processes in financial firms that could be driving up costs, creating the potential for compliance issues, and causing frustration for end-clients. You will also learn actionable best practices in process automation. Presenters: William Lathram XTRAC Solutions Vice President of Sales & Wendell Hull XTRAC Solutions Sr. Director, Professional Services 3:00pm 3:30pm - Breakout Sessions Track 1A - cleverDome Solutions: Leveraging Our Solutions for Your Success Client Case Studies Brief Description: Learn how cleverDome Solutions has empowered a RIA/Broker Dealer and a technology solution provider utilizing our Source Of Accurate Record (SOAR) and Media Integrated View Unification (miVu) platforms. Both solutions can be easily integrated into your existing platforms and can greatly enhance your end user experiences with proprietary and non proprietary software offerings. Learn how we take a static media and make it SMART. cleverDome overtakes traditional document management solutions by delivering the industry's first smart content management platform which transforms static documents into a true collaborative relationship management context for financial advisory teams to efficiently provide scalable award winning service and client experiences. Today, our client, United Planners uses this solution to share the same documents and media to the back office, the advisors repository, and the client vault. Additionally we will be sharing how new partners are taking advantage of our solutions. Presenter: Aaron Spradlin, President/CTO cleverDome Solutions Track 1B - Finance Logix: Finance Logix Widgetization - Taking Enterprise Integration to the Next level

Brief Description: Integration has been a key element in the world of technology for advisory services. Unfortunately, most integrations today are limited in scope and rarely seamless. With the introduction of widgets and our open API, Finance Logix is pioneering direct integration with back offices and CRM systems by offering the ability to drop fully functional extensions of the dynamic planning platform into other systems. Hear a first person experience account from Aaron Spradlin, of United Planners, about how this has played a big role in his firm and how it has helped drive a plan centric approach and a create a seamless integration into their home system. Presenter: Oleg Tishkevich, CEO and Aaron Spradlin, United Planners Track 2A - ProTracker Software: ProTracker Cloud CRM Built for the 21st Century Brief Description: ProTracker Software will provide a demonstration of ProTracker Cloud, a client relationship management application designed for both RIAs and broker-dealers. With over 16 years in the CRM marketplace, ProTracker Cloud was built with extensive built-in mobility capabilities and practice management features. Join CFP Warren Mackensen, President of ProTracker Software, to learn how ProTracker Cloud can help you with: Sales productivity and forecasting Supervise teams of advisors Manage your client relationships, tasks and appointments Automate office workflow processes Store client documents and communications Import data from portfolio management systems Organize and build your practice Increase your revenues and profitability Facilitate regulatory compliance Presenter: Warren J. Mackensen, President Track 2B - Panoramix: Advisor Dashboards: Gathering Data From Multiple Sources Into a Simple View Brief Description: Learn how Panoramix can pull contact data, client data, documents, tasks, calendars, and portfolio information from multiple sources into a single, easy to use dashboard view for your advisors. Understand how Panoramix can also aggregate all your advisors information for the broker/dealer into a central repository for easier rep management. Presenter: Chris Hastings, CEO 3:40pm 4:10pm - Breakout Sessions Track 1A Brief Description: Presenter: Track 1B Brief Description: Presenter: