Hedge funds, private equity groups and other private placements will soon be allowed to use social and traditional media platforms to create brand awareness through marketing their investment and managers to the generalized public. Here are best practices

1. Making the Jobs Act Work:
Mad Men Meets Wall Street
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2. HNW MATTERS WEBINAR SERIES
Series created specifically to help high-
net worth community manage for the
future
Featuring industry experts and
innovators addressing critical issues
facing financial services firms
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3. April Rudin
•Financial Services Industry Marketing Consultant
•Ultra-High-Net Worth / High-Net Worth Sector Specialist
•Digital and Social Media Engagement and Client Acquisition
Expert
•Multi-Generational Communications and Media Relations
Strategist
•Frequent contributor to national media outlets including The
Huffington Post, BusinessWeek, Bloomberg, Reuters,
Fundfire, Family Wealth Report and AssetTV
•High-Net Worth Advisory Board Chair for The Hedge Fund
Association (HFA)
CONSULTANT TO THE STARS
OF THE FINANCIAL SERVICES INDUSTRY
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4. About The Rudin Group
• Integrated marketing, branding and communications
strategies for the financial services industry
• Helping UHNW / HNW community create client
acquisition plans that take advantage of next generation
digital platforms and communications
Challenging ―Business as Usual‖ Practices
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5. A Day in the Life of April Rudin
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6. Our Agenda
• What Is The JOBS Act?
• How Does It Impact Asset Managers And The Way
They Do Business?
• What Does It Mean For Connecting with UHNW
Investors/Institutional Investment Communities?
• The Role Of Social Media In General Solicitation
Making the JOBS Act Work:
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7. Disclaimer:
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The information discussed does not
constitute and should not be construed
as legal advice.

8. What is the JOBS Act?
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Intended Consequences:
1. Stimulate small businesses to create jobs
2. Alleviate tight credit markets
3. Access to capital – new ways for investors and
managers to connect
Unintended Consequences:
1. Ended the prohibition on advertising and direct
marketing by alternative investment firms – and
social media!
2. Opened the door for financial services firms to
access capital through crowd-funding
3. Third-party vetting

9. The JOBS Act Is A Law —
Stop Dawdling
• Determine your process for
vetting investors
– SEC recommends that firms
take ―reasonable steps‖
• Here comes the Airplane!
Create your marketing plan
now--early adopter
advantages and help stand
out in the coming ―Ad Blitz‖
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10. The Opportunity For Funds, PE
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•Distinguished brand - visibility
among peers and growing number
alternative investment strategies
•Access to UHNW / institutional
investors through digital media/next
gen wealth and affinity investing
•Improved industry reputation
among the general public

11. Historical View of
Hedge Fund Managers
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12. Public Perception at Odds with Reality
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•Most funds rely on established track
record of delivering superior risk
adjusted returns for accredited and
institutional investors
•Increasing inflows from public and
private investment funds seeking to
overcome funding shortfalls
•Entrepreneurial business community
that creates jobs and supports
greater market efficiencies

13. The Veil Is About To Be Lifted…
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•Alternative investment firms maintain
high levels of investor privacy – seen
as secretive
•Prohibited from generalized
advertising – cap intro, performance-
driven marketing, word-of-mouth
•Previously seen as an unregulated
―Wild West‖

14. The Advertising Avalanche
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Many large fund managers have the
resources to finance:
•Television /radio Ads
•Internet advertising
•Event sponsorships
•Venue naming rights
•Product placements / endorsements
Everyone will be inundated with
information from alternative investment
managers
The New Super Bowl Ads-from Doritos
and Beer--- Hedge Funds!
Where The ―Boys‖ Are…

15. Everybody Wants a Piece of the
Pie
• Large financial institutions selling
―alternative investment-style‖ mutual fund
products
• ETFs offering hedge fund replication
strategies
• Roughly 10,000 other active alternative
investment firms – in the United States
alone!
• Allows managers to differentiate products
and services in an increasingly crowded
market place
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16. Next Gen Value Props
Are Different
•Value Affinity Investing --at the heart of Crowd-funding
•Doing Good While Doing Well
•Smaller is better
•Don’t Trust Suits
•Diminishing value of ―track record‖
•Transparency/Authentic
•Mobile (Digital) Community
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17. Targeted Messaging vs. Mass
Marketing
• Target and ―talk‖ directly to each of your
niche audiences via digital strategy and
media outreach
• Education is Important--UHNW investors
want to make informed decisions amid
flood of information – 44% of millennials
described themselves as “extremely”
interested in improving their
understanding of investing*
• Flattened playing field for smaller funds
17*Accenture 2013: "Generation D: An Emerging and Important Investor Segment"

18. • No more intermediaries – Cap Intro
goes away / replaced with digital
• Who vets the accredited investor? New
standards – individual or joint net worth
(with spouse) exceeding $2M at
purchase, or AUM $1M or more,
excluding the value of primary
residence
• What are ―the steps?‖ What is
reasonable?
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A Whole New World….

19. Broaden the Message for
Institutional Audiences
• Power of content
• Focused on transparency, fiduciary
duties
• Still seek performance but decision
makers have changed
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Every day
Americans have
exposure to
alternative
products through
pension funds…
Regulators will
be watching

20. Striking a Chord with Institutional Investors
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Reinforce positive attributes, differentiators
through primary messaging:
• Returns – how achieved AND
bottom line results
• Transparency / Processes
Secondary Themes:
Education for pension managers / plan
sponsors
Doing well by doing good
Positive impact on economy
Community / charitable involvement
Affinity investing

21. How Allocations of Marketing
Resources Have Changed
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Source: www.therudingroup.com

22. How Do We Utilize Social Media?
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Platform Unique Factors Strategies and Best Practices
LinkedIn Business networking and relationship building,
introductions
Structuring your profile and joining groups
Facebook Small Business/Personal branding/Consumer brands B to C, Business pages
Twitter Opportunistic, newswire, short burst in real-time Aggregating and curating content to attract
YouTube Most Authentic
Teach and Learn
Look + Listen
In five years, all websites will be video
Google+ Feasting on SEO and Adword content Struggling to be all things
Blogging Thought-Leadership + POV, Complex ideas Content + opinion;
Commenting and engaging with others

23. The Social Media Imperative
Source: Copyright Spectrem Group 2013
UHNW = Net worth of between $5 million and $25 million
HNW = Net worth of between $1million and $5 million
Blog
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47% of UHNW
56% of HNW
32% of UHNW
31% of HNW
8% of UHNW
8% of HNW
Regularly read blogs that
pertain to financial topics
19 % UHNW 16% HNW

24. Who Is Using Social Media?
Source: Pew Research Center/American Life Project
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•86% of 18-29 year-olds use social media
•Over 70% of 30-49 year-olds use social
media
•50% of 50-64 year-olds use social media

25. How is Social Media Used?
Source: Spectrem Group 2013
Younger UHNW investors are
more inclined to use social
media as a communication tool
and read their advisors’ blogs
.
•More than 25% of those
under age 44 would follow
an advisor on Twitter.
•More than 40% would read
corporate blogs
•Over 30% rely more on
social media for information
than on traditional channels
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26. The Role of Public Relations
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•Complementary communications
•Reinforce marketing themes and
messaging
•Adapt content for niche markets
•Establish relationships with relevant
media
•Crisis communications / contingency
strategies
•Lather, rinse and repeat…

27. Oh, and BTW
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Crowdfunding has ―Arrived!‖
•Innovative asset managers can allocate
marketing resources by utilizing crowd-funding
platforms
•Create new paths for funding small business
due to credit crunch
•Jumpstart the economy via investing in small
businesses

28. Crowdfunding Restrictions
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For the individual:
One of the conditions of this exemption is a yearly aggregate limit on the
amount each person may invest in offerings of this type, tiered by the person's
net worth or yearly income. The limit ranges from 2% of people earning (or
worth) up to $40,000, up to a cap of $10,000 for people earning (or worth)
$100,000 or more.
For small businesses:
Crowdfunding available only to issuers who do not sell more than $1 million to
investors during any 12-month period. Companies seeking to raise over $1
million in 12 months will not be able to use crowdfunding.

29. Here are the take-aways:
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The JOBS Act has yet to be enacted, but it is law.
“It’s soup!”
It’s time to develop affinity based platforms
to enhance client acquisition / communications
with Next Gen wealthy
Generalized Solicitation is an opportunity to:
•Differentiate brand
•Create community
•Improve sentiment
•Market affinity
•Target niches
•Enhance transparency

30. Q & A Discussion
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31. April Rudin
april@therudingroup.com
twitter: @TheRudinGroup
Thank You!
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