Professionals Alliance Group Information for accounting firms

1. Professionals Domestic
Alliance Confidential Survey
Group
Oppenheimer established the Please print.
Professionals Alliance Group to Name
support selected accounting firms Tide.
across the country in providing Company
financial consulting services to their Address
high net wort}r clients. Ci.y. .....State ....2p
Telephone .Fax .
In order to qualify for membership in E-Mail ....7ebSite..
the Professionals Alliance Group, F{ome Address
accounting firms must meet certain
City. .....State ....Zip
requirements. if you are interested in
SocialSecurity # .. . . . . .DateofBirth
learning more about this opportunity,
Year Firm Founded
please complete and return this
Number of Partners
Confidential Survey witl your busi-
ness card to:
Number ofAccountants/Lawyers . . .
Please indicate the approximate nrrmber of clients with
IN{ESIIABT.F assets within the following ranges:
Professional Alliance Group
. . . . $5OOm-$2mm . . . .$2mm-$5mm . . . .$5mm-$ 10mm
Oppenheimer 6r Co.Inc.
... . $10mm-$25mm ....>$25mm
I25 Broad Sffeet, 14th Floor Please indicate your ftlnt approximate cur€nt annu l rsvenues:
NewYork, NY 10004 O$1mm-$3mm O$3mm-$5mm
professionalsalliancegroup@opco.com O$5mm-$1Omm O>$1Omm
(212) 668-5880 Do you have a ftnancial services business? OYesONo
Do you have an RIAi OYesONo
Please inficate the license(o) yo* hold:
Please indicate industry specialization(s), if *y (e.g.: manufactur-
ing, healtficare, technolory, non-traditional).
f ppENtml{E
(SiSnature) (Dale)

3. Our Professionals Allia nce G rou p Helps You Provide
Your Clients with lnvestment Services
&
-ry
t'42
The Professionals Alliance Group seeks to align PAG sees its function as a means by which its
with firms whose primary focus is to offer their members can strengthen existing relationships
clients financial guidance in their personal and between their clients and themselves by providing
business interests. When PAG began operations, investment services. Values of integrity and respect
it worked almost exclusively with accounting firms, are paramount for companies to succeed at adding
Since that time, it has also formed relationships value to their clients trusted counselors.
with law firms, sports agents, business managers 0ppenheimer's Senior Management augments
and family office practices because these PAG's involvement with the firms with which it
individuals and institutions are all actively involved works by making themselves accessible to these
in their clients'financial lives. firms' clients for seminars and by assisting PAG in
strategic planning.

4. Why Offer Wealth Management Services
Through Trusted Advisors
Certified Public Accountants, lawyers, agents, business managers, family offices and other trusted professionals are often a high net worth client's
most trusted advisor. Their position of trust gives them the unique abi ity to advise clients on financial affairs in addition to their respective area
of expertise,
As professional advisors with whom clients discuss their most important business and f nanclal situations, these professionals are a naturalfit for the
role of central coordinator of various client needs, including WeaLth Management services, lt rs on y ogical that clients would wish their professional
advisor to become an integral part of their investments, The professiona's invo vement in the process of frnancial advice allows him or her to
strengthen and enhance client relationships,
Which Wealth Management Services Approach
Should You Take?
Your choice of a service model will depend on a number of variables, including the types of clients you represent, your firm's slze and the commitment
and training of your staff in the wealth management business. For reference, we have provided an overview of different models in this brochure.
Financial Services Alternatives
There are several platforms from which CPA and other professionalfirms deliver financial services to their clients,
Below are the aspects of each platform.
Establlsh Financial Services
Affiliate with Establish RIA; Select Relationship Partner
First Steps Limited Liability Corporation
Broker Dealer (B/D) (SEC or State Regulated) (lnsurance & Securities)
(LLC)
Series 7 & 66; Series 7 & 66; Series 7 & 66;
Typical Licensing Series 65
lnsurance lnsurance I nsu ra nce
Fee-Based Advisory Programs; Fee-Based Advisory Programs;
Fee- Based lnsurance Transactions;
Services Available Com mission-Based Comm ission-Based
Advisory Programs Some Asset Management
I nsu rance Transactions I nsu rance Tra nsactions
Earnings Potential High Medium Medium/High High
The financial cost and use of resources to your firm depend upon the type of platform you select. ln addition, you may not know how hands-on a particular
program may be.
Wealth Management Alternatives
Aligning with a full service Broker/Dealer enables you to fully leverage the abilities, experience and resources of yourWealth Management affiliation.
ln addition to your FinancialAdvisor, your clients will be able to meet with other 0ppenheimer professionals who can assist them with their retirement plans,
advise executives at privately and publicly held companies, liaise with trust and estate administration and provide access to alternative investments for
qualifying high net worth individuals as well as select insurance and annuity providers.

5. A Select Group
':eting the challenge of building and servicing an association of a financial firm with a CPA, legal or management firm also requires the involveme:i
:' righly experienced professionals. Our member firms work only with those Oppenheimer & Co. lnc. Financial Advisors whom PAG has selected throuc'
. :emanding screening process.
::G selects FinancialAdvisors to participate in the ProfessionalsAlliance Group on the basis of their tenure within the investment industry, their prior
-,clvement with accounting and other professronal firms and their experience in consulting with high net worth investors,
- addition to these qualifications, PAG prefers for PAG FinancialAdvisors to complete or be in the process of completing some form of advanced academic
:-rgram in the financialarena such as the Chartered lnstitute of ManagementAccountants (CIMA)'designation, the CFP@ designation awarded by Certifiec
: iancial Planner Board of Standards, the Chartered FinancialAnalyst designation from the CFA lnstitute or a Master's degree in Business Administration.
Extensive Support
lecause an open dialogue among all parties is critically rmportant, the Professionals Alliance Group's business model is predicated on developing a
'firm-to-firm" relationship. PAG member firms recelve extensive support, including training and marketing seminars, held either onsite or in our New
/ork offices. ln addrtion, the Financial Advisor responsible for working with each organization may spend a great deal of time working with clients
:nsite, either alone or accompanied by a member of Oppenheimer's Senior Management.
Timeline for Establishing a Wealth Management Program
re typical timeline to implement a wealth management program is 6 to B weeks. Regardless of how you decide to structure your program with PAG,
,ou should take care to include several key elements.
Weeks
34 8l
Appoint Firm
Champion d> I
.l::::l;Hil:,?.Tiflii"il#lTflJ::'.1i:i
Due Diligence
] + I ,, Research which program/platform to align with
1
Establish Financial
Services Entity d> ", Determine which model is best for your firm
L-
Staff Updates i-Receiveweeklynewsletters,firmmarketingpieces,
i I anoclientnotifications
License Training
and Exam
Client ldentification/
Client Meetings
0ngoing Training
-
Why Consider the Professionals Alliance Group?
i" PAG has helped professional advisory firms across the country develop Wealth Management businesses. Our own growth stems from the ability to
provide a tailored yet flexible program for trusted professionals as opposed to imposing a prefabricated investment model upon individual clients. ln
short, the 0ppenheimer & Co. lnc. FinancialAdvisors who work with the ProfessionalsAlliance Group work with their member firm clients in the same
manner in which they work with their own clients at Oppenheimer.
We understand your profession and provide member firms with a time-efficient approach to Wealth Management. Our dedicated Financial Advisors are
extremely knowledgeable;they bring your clients years of experience, as opposed to the latest "hot idea."

6. A Select Group
leeting the challenge of building and servicing an association of a financial firm with a
CPA, legal or management firm also requires the involvement
tf highly experienced professiona s. Our member firms work only with those Oppenhermer & Co, lnc. Financial Advisors whom PAG has selected through
a demanding screening process.
PAG selects FinancialAdvisors to participate in the Professionals Allrance Group on the basis of therr tenure within the investment industry, their prior
nvolvement with accounting and other professional firms and their experience in consulting with high net worth investors.
n addition to these qualifications, PAG prefers for PAG FrnancialAdvisors to complete or be in the process of completing some form of advanced academic
program in the financial arena such as the Chartered lnstitute of ManagementAccountants (ClMAf designation, the CFP@ designation awarded by Certified
Financral Planner Board of Standards, the Chartered FinancialAnalyst designation from the CFA lnstrtute or a Master's degree ln BusinessAdminrstration.
Extensive Support
Because an open dialogue among all parties is critically imporlant, the Professionals Alliance Group's business model is predicated on developing a
"firm-to-firm" relationship. PAG memberfirms receive extensive support, including lraining and marketing seminars, held either onsite or in our New
York offices. ln addition, the Financial Advisor responsible for working with each organization may spend a great deal of time working with clients
onsite, either alone or accompanied by a member of 0ppenhermer's Senior Management.
Timeline for Establishing a Wealth Management Program
The typical timelrne t0 implement a wealth management program is 6 to 8 weeks. Regardless of how you decide to structure your program with PAG,
you should take care to include several key elements.
Weeks
34
Appoint Firm
Champion +> The First Step is identifying an internal resource
dedicated to leading the financial services effort
Due Diligence d> Research which program/platform to align with
Establish Financial
Services Entity d> Determine which model is best for your firm
Receive weekly newsletters, firm marketing pieces,
Staff Updates
and client notifications
License Training
and Exam
r+> Licensing and Training are important
to delivering quality service
.otpon.nu
Client ldentification/ ldentitying potential clients and initiating
Client Meetings =+> meetings require a sound marketing approach
Ongoing Training +> Continuous training and staff updates provide
value-added services that increase retention
Why Consider the Professionals Alliance Group?
PAG has helped professional advisory firms across the country develop Wealth Management businesses. Our own growth stems from the ability to
provide a tailored yet flexible program for trusted professionals as opposed to imposing a prefabricated investment model upon individual clients. ln
short, the Oppenheimer & Co. lnc. Financial Advisors who work with the Professionals Alliance Group work with their member firm clients in the same
manner in which they work with their own clients at Oppenheimer.
We understand your profession and provide member firms with a time-efficient approach toWealth Management. 0ur dedicated FinancialAdvisors are
extremely knowledgeable;they bring your clients years of experience, as opposed to the latest "hot idea,"

7. Oppenheimer & Co. lnc.
Wealth Management Capabilities
Oppenheimer & Co. lnc' ("Oppenheimer") a leading investment bank and fuil-service investment firm that provides financial services and
is
advice to high net worth investors, rndividuals, businesses and institutions. For over'l
25 years, we have provided investors with the necessary
expertise and insight to meet the challenge of achieving their financial goals. Our commitment to our clients' investment needs, our experienced
and dedicated professionals and our proud tradition empower us to deliver effective and innovative solutions to our clients.
Oppenheimer Asset Management Products and Services
Our goal is to create sound and objective strategies that prepare Executive Seruices Group'. Like any other lnvestors, high net worth
clients for the long term. By aligning with Oppenheime; trusted executives want to get the most from their portfolio while minimizing
professionals such as CPAs become able to sit on the same side of the risk. However, they may face tax and regulatory constraints that make
table with their client and the Financial Advisor; objectively filtering traditional methods of diversifying assets unfeasible. The Executive
lhrough third party money managers and other types of investment Services Group was formed to service corporate executives and high
strategies. The groups that assist in achieving this task include: net worth individuals who own restricted and control stock. lt offers
a range of sophisticated strategies to protect and enhance the value
The Consulting Group: This group provides two programs that help
of one's assets. Executive Services can also assist corporations with
clients implement strategies specific to their needs. Clients have
its Employee Stock Option Programs by providing financing for its
access to Mutual Fund wrap accounts through the Portfolio Advisory
employees and executives.
Services (PAS) program and Separate Account Money Managers
through the lnvestment Advisory Services (lAS) program. ln each Oppenheimer Trust Company. OTC is a limited purpose bank that
case, 0ppenheimer Asset Management performs extensive due works wrth individuals, families, charrties and foundations" It was
diligence to identify the mutual funds or separate account managers chartered to provide fiduciary services such as trust and estate
that it feels are the best within their market segment. administration and investment management. Establishing a trust is a
reliable way to help assure that your assets are managed and
Oppenheimer lnvestment Advisors'. OIA utilizes a rigorous and
distributed the way you want. OTC also assists our Financial
disciplined approach to create and maintain risk-averse investment
Advisors in addressing two issues of great concern to high net
strategies with a long{erm perspective. lt believes in a rigorous and
worth individuals: control and continuity of service.
disciplined investment process, combining a long-term perspective
with an emphasis on principal protection and risk management. The Retirement Seruices. Ihis group serves as a resource for Oppenheimer
group helps to determine financial objectives over the long term. FinancialAdvisors who establish and maintain all types of lndividual
Retirement Accounts (lRAs) as well as qualified and non-qualified
Alternative lnvestments Group*'. Non-traditional strategies are an
retirement plans. For individuals, we consult on the selection of an
essential part of a sophisticated investor's portfolio. Where
appropriate traditional or Roth lRA. For employers, our services include
appropriate, alternalive investments provide diversrfication and may
retirement plan design, administrative vendor search, investment
help to reduce an investor's overall investment risk. The Alternatrve
selection, performance monitoring and employee communications.
lnvestments Group has extensive knowledge and has performed
research on a variety of products, including single-manager hedge Oppenheimer Life Agency, Ltd.. OLA is a wholly owned subsidiary
funds, fund of funds, registered funds, private placements and of Oppenheimer & Co. lnc. lt is able to offer a wide variety of quality
domestic and offshore funds. products maintaining relationships with more than 80 leading
insurance companies. Through the consultative approach driven by
*Alternative investmenrs, such as Hedge the coordination of its annuity team and its strategic partners, OLA
Funds, Fund of Funds and
Private Equiry are made available only to qualified investors and provides clients with sophisticated planning techniques that seek to
involve varying degrees of risk. help them achieve their long-term financial goals.