Wilbanks Partners, LLCOne Stamford Plaza, 9th Floor

263 Tresser BoulevardStamford, CT 06901

www.wilbankspartners.com

June 2015

Wilbanks Partners LLC:The Leader in Executive Search for the

Asset & Wealth Management Industry

Table of Contents

June 2015 2

I. Mission3

II. Client Services & Fields of Specialization 7

III. Search Process10

IV. Track Record14

V. Our Team17

Wilbanks Partners LLC: Introduction

June 2015 3

I. Mission

Wilbanks Partners LLC: Introduction

Mission

4June 2015Wilbanks Partners LLC: Introduction

In a market dominated by uncertainty, the recruitment and retention of executive leadership in the asset and wealth management industry requires a special combination of deep market knowledge, combined with the independence, wisdom and experience to put this knowledge to work accurately.

Market KnowledgeExclusivityIndependenceCustomizationEfficiency

Mission

5June 2015Wilbanks Partners LLC: Introduction

Market Knowledge

George Wilbanks brings a 30-year career spent in the investment business, first in venture capital and mutual funds and subsequently building the asset and wealth management practice at Russell Reynolds Associates. He has worked on nearly 1,000 searches with experience in virtually every facet of the investment and wealth advisory business.

Exclusivity

Wilbanks Partners LLC will provide exclusive services to every client partnership, not taking any other conflicting commitments during the duration of the relationship. We have heard the frustrations of clients in this area, knowing that the large size of many competitors requires that they “feed the machine” to cover large fixed costs, frequently leading to tough choices amongst the demands of multiple clients.

Independence

Clients can feel secure that their interests are placed first, because the independence of a small private partnership allows a completely objective point of view, without the conflicts of public ownership or competing financial interests, either geographic or by line of business.

Mission

6June 2015Wilbanks Partners LLC: Introduction

Customization

Managing executive human capital requires efforts in both retention and recruiting, and always involves both internal and external people resources. Wilbanks Partners LLC was founded on the belief that building a successful longer term partnership with clients requires skills and initiatives in both these areas. We will therefore completely customize every engagement around a client’s needs, not our existing delivery infrastructure.

Efficiency

Wilbanks Partners LLC is structured as a virtual business, with team members working onsite with clients and out of a network of offices throughout the world with one of the largest business suite operators. Our entire technology and communications infrastructure is SaaS based, using cloud computing solutions, allowing us to move towards SSAE 16/AT Section 101 compliance for absolute confidentiality and institutional grade reliability. The most important outcome of this efficient structure is the ability to work reliably and flexibly around the evolving needs of specific client requirements.

June 2015 7

II. Client Services & Fields of Specialization

Wilbanks Partners LLC: Introduction

Client Services

8June 2015Wilbanks Partners LLC: Introduction

Wilbanks Partners LLC provides a full range of executive recruiting and organizational management consulting services to every segment of the asset and wealth management business.

Executive Search

George Wilbanks brings a 30-year career spent in the investment business, first in venture capital and mutual funds and subsequently building the asset and wealth management practice at Russell Reynolds Associates. He has worked on nearly 1,000 searches with experience in virtually every facet of the investment and wealth advisory business.

Organizational Management Consulting

Very often the correct solution to an executive resource concern is internally based. Wilbanks Partners LLC will be structured to work closely with clients to determine whether internal resources would be more a more effective solution than external, and if that is the case, how to put those solutions in place with a high degree of certainty that key executives can be retained. In addition, our extensive market knowledge is put to work gauging both the acquisition cost, and the retention cost of a particular executive resource solution.

Fields of Specialization

9June 2015Wilbanks Partners LLC: Introduction

Asset Management

Wilbanks Partners LLC brings expertise across the entire Institutional Investor 300 with a track record of engagements in mutual funds, ETF’s, hedge funds, private equity and institutional separate account businesses. This is the core of the firm’s expertise.

Wealth Management

With the volatility of markets putting the value of good advice at the forefront since 2008, this is an important area of focus for Wilbanks Partners LLC. Recent search work includes projects in mass affluent wealth advisory, ultra-high net worth private banking and family offices.

Operations & Technology Infrastructure

In the face of slower growth in valuations across the global capital markets, restricted capital flows from investors and higher volatility due to unprecedented geopolitical events, asset and wealth management firms are increasingly focused on expense management as a major initiative to drive long term profit growth. Investments in technology are becoming a major driver of innovation in cost savings. Wilbanks Partners LLC’s core business model is a response to this very same phenomenon. Our recent recruiting work has included work recruiting CTOs, Heads of Operations, outsourcing vendors, software companies, and middle and back office service providers.

Functional Roles

Our work in the asset and wealth management sectors has included investments, sales, marketing, financial management, strategy, technology and operations. Of course, there is a distinguished track record of Board and “C” suite leadership projects.

June 2015 10

III. Search Process

Wilbanks Partners LLC: Introduction

We Work in Partnership with You

11June 2015Wilbanks Partners LLC: Introduction

Wilbanks Partners Commitments

Clear milestones, agreed up front Visible, transparent process Weekly status calls Candidates referenced before approach calls Search won or lost in first month Availability and urgency Influence and relationships

Client Commitments

Honesty and openness of information Commitment and time in the process Permission to be pushed Prompt and detailed feedback Treating individuals as candidates, not

applicants Extend a competitive offer

BriefingSet strategy

and competencies

Market review and prospect identification

Candidate approach

and evaluation

Client/candidate interviews

“A” Prospects

Informal referencing Formal referencing

Our Approach Is Transparent and Centered on Making a “Fast Start”

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Week 1 2 3 4 5 6 7 8 9 10 11

12

13

Initiate searchResearch commencesJob spec. approval

Candidate identificationResearch continues

Candidate calibrationResearch continuesWilbanks Partners discusses research and confirm interesting prospects

Potential candidates interviewed by Wilbanks PartnersOn-going research

Prospect candidate refinementWilbanks Partners discusses additional research and confirms interesting prospects with client

Client interviews

Candidate selectionPreferred candidate selected and offer made360 degree references taken

Offer negotiation and acceptance

The Science of the Search Process

13June 2015Wilbanks Partners LLC: Introduction

June 2015 14

IV. Track Record

Wilbanks Partners LLC: Introduction

Selected Representative Assignments

15

Chief Investment OfficerMajor Regional Bank* CIO – Investment & Wealth ManagementSignificant Ultra HNW Boutique Private Bank Chief Investment OfficerLeading ESG Investment Firm Chief Investment Officer Major Hedge Fund* Managing Director & CIOMajor Investment Firm* Chief Investment Strategist & Head of Investment OperationsMajor Pension Fund* Director of Alternative InvestmentsBoutique Value Investment Firm Chief Investment OfficerMajor European Investment Firm* MD & CIO Hedge Fund of Funds – US Large Family Office* Chief Investment Officer

CEO / COOLeading ESG Investment Firm Chief Executive OfficerMajor Wealth Management Firm President & Chief Operating OfficerMajor Financial Services Association PresidentMajor Financial Services Trade Association PresidentLarge Global Public Investment Firm* President & Chief Executive Officer President – Retail Investments BusinessMajor Regional Bank* President – Retail BrokerageMajor Global Diversified Investment Firm* President – Hedge Fund of Funds President – Retirement ServicesInvestment Analytics Software Co.* President & Chief Executive Officer Large Global Securities Services Bank* SVP & Chief Operating Officer Major Family Office* Chief Executive OfficerLarge Independent Investment Company* Country Head – Canada

Equities Major Investment Firm* Deputy Chief Investment OfficerBoutique Value Investment Firm Deputy Chief Investment OfficerLarge Multi-Family Office* Investment Director – Fund of FundsLarge Hedge Fund* Head of Equity ResearchLarge Mutual Fund Company* Retailing Analyst Technology Analyst

Board of DirectorsMajor Independent Investment Firm* Member, Board of Directors (3) Major Private Equity Firm* Member, Advisory BoardInvestment Software Services Company* Member, Board of Directors (5) Large Global Public Investment Firm* ChairmanMajor Financial Services Industry Association Member Board of Directors (2)Global Financial Services Association Board Governance Study & Member Assessment

Fixed IncomeMajor Global Diversified Investment Firm* MD & Head, Global Fixed Income MD & Portfolio ManagerLarge International Insurance Company* Senior Credit Portfolio Manager Senior Credit Research AnalystLarge Hedge Fund* MD & Head of Fixed Income StrategiesMajor Hedge Fund of Funds* Senior Analyst – Manager Assessment (3)

Quantitative InvestmentsMajor Independent Mutual Fund Firm* MD & Head of Quantitative Equity Investing Senior Quantitative Research Analyst (3) Global Macro Economist (2)Absolute Return Hedge Fund* Quantitative AnalystLarge Electronic Securities Trading Firm* Director of Financial Engineering Major Ratings Agency* Head of Hedge Fund Ratings

Institutional Sales & MarketingMajor Investment Firm* Managing Director & Head of DCIO Sales Large Diversified Investment Firm* Director, Head of Insurance & Sub-Advised Sales ChannelMajor Independent Investment Firm* EVP & Division Executive, Defined Benefits AdministrationLeading ESG Investment Firm SVP & Head of Pension SalesGlobal Large-Scale Diversified Asset Manager MD – Middle Market Pension SalesMajor Investment Firm* MD & Head of Institutional DistributionMajor Private Equity Firm* Partner – New Business DevelopmentAlternatives Fund of Funds* MD & Head of Sales and Client ServiceMajor Global Diversified Investment Firm* MD & Chief Marketing Officer – Institutional Major Investment Firm* VP & Chief Marketing Officer – Institutional Major Venture Capital Firm* Director, Head of Marketing & Client ServiceLarge Hedge Fund* VP – Client Services Relationship ManagerLarge Investment Management Firm* Director – Pension Consultant RelationsLarge Life & Annuity Insurance Firm* Marketing Director – Pension Sales, Midwest

Retail Sales & MarketingMajor Investment Management Firm* President – Retail DistributionMajor Private Equity Firm* Head of Retail Distribution Chief Marketing Officer – RetailLeading ESG Investment Firm EVP & Head of Distribution VP & Head of Internal Sales DeskMajor Investment Management Firm* MD & Head of Retail DistributionMajor Investment Management Firm* VP & Head of National Accounts Major Investment Management Firm* EVP & Head of e-CommerceMajor Life and Annuity Insurance Company* SVP & Chief Marketing Officer Major Investment Firm* VP & Chief Marketing Officer – Retail Major Global Asset Management Firm SVP – Digital Marketing Global Head of Corporate CommunicationsMajor Investment Management Firm* Director – New Client Acquisition Director & Chief Marketing Officer – Retail Client Segment Director & Chief Marketing Officer – Digital

& Social Media Director & Chief Marketing Officer – ETF & Advisor ChannelMajor Public Investment Company* MD – Product Management & New Product DevelopmentMajor Investment Firm* Director – New Product Development & Product ManagementMid-Size Investment Firm* MD, National Product & Sales ManagerRetail Investment Firm* Vice President – Sales, Central Region

* Assignments were recruiting engagements led by George Wilbanks at Russell Reynolds Associates

June 2015Wilbanks Partners LLC: Introduction

Selected Representative Assignments

16

Wealth Management & Family OfficeMajor Wealth Management Firm President & Chief Operating Officer EVP & Chief Financial Officer EVP & Chief Risk Officer EVP & General Counsel EVP & Head of Operations EVP & Head of FinanceMajor Regional Bank* President – Retail Brokerage DivisionMoney Center Bank* President – Retail Brokerage DivisionMajor European Private Bank* MD & Head of US Private BankingLarge Family Foundation* Chief Investment OfficerLarge Family Office* Chief Executive Officer Chief Investment OfficerLarge Family Office* PresidentLarge Family Office* President Director of InvestmentsLarge Family Office* Director – Manager Search & EvaluationLarge Multi-Family Office* Investment Director – Fund of Funds

DiversityMajor Regional Bank* CIO – Investment & Wealth ManagementMajor Wealth Management Firm MD & Chief Risk OfficerLeading ESG Investment Firm EVP & Head of Distribution SVP & Head of Pension Sales VP & Head of Internal Sales DeskSignificant UHNW Boutique Private Bank Chief Investment OfficerMajor Independent Investment Firm* Member, Board of Directors Principal – Institutional Strategic Consulting Principal & Head of Quantitative Equities Head of International Audit Director & CMO – Digital and Social Media Senior Quantitative Research Analyst Quantitative Research Analyst Investment Analyst Global Macro EconomistMajor Independent Investment Firm* EVP, Operations & Implementation, Retirement Service BusinessMajor Investment Firm* VP & Chief Marketing Officer – Institutional VP & Chief Marketing Officer – Retail Major Global Asset Management Firm SVP – Digital MarketingMajor Pension Fund* Director of Alternative InvestmentsLarge International Insurance Company* Fixed Income Portfolio Manager Fixed Income Credit AnalystInvestment Analytics Software Company* Head of SalesMiddle Office Software Company* Product Manager Large Family Office* Director of Investments

Technology and Operations Major Wealth Management Firm EVP & Head of OperationsMajor Independent Investment Firm* EVP, Operations & Implementation, Retirement BusinessGlobal Investment Management Firm Chief Information OfficerGlobal Commodities Trading Services Firm* Chief Information Officer Global FX Software and Trading Services* Firm MD – Americas Sales & Client Services VP & Head of e-Commerce, AmericasLarge Financial Services BPO Firm* GM – Enhanced Shared ServicesLarge Public Diversified Investment Firm* Group Manager – Middle Office OperationsMajor Investment Management Firm* VP – Investment Operations ManagerMajor Financial Svcs Compensation Consultant* VP – Technology & Operations ConsultingMajor Investment Services BPO Firm* VP – Marketing Comm. & Brand Management VP – Digital & Social MarketingMiddle Office Software Company* VP – New Business Development Product Manager

Legal, Risk Mgmt & ComplianceMajor Wealth Management Firm MD & Chief Risk Officer MD & General CounselMajor Life & Annuity Insurance Company* SVP & Chief Risk Officer Large Global Insurance Firm* Head of Risk Management – Hedge Fund of Funds, US Investment DivisionMajor Investment Management Firm* EVP & General Counsel SVP & Head of Risk Mgmt, Quantitative Research & Product DevelopmentMajor Pension Fund* Vice President – Investment RiskMajor Hedge Fund of Funds* Senior Analyst – Risk Management

Corporate OfficersMajor Investment Management Firm* Chief Financial Officer Major Wealth Management Firm EVP & Chief Financial Officer EVP & Head of FinanceMajor Life & Annuity Insurance Company Chief Financial Officer SVP, Corporate Controller & Deputy CFO*Major Independent Investment Firm* Chief Actuary – Defined Benefit Consulting Head of International AuditLarge Global Private Equity Firm* Chief Administrative Officer Major Global Asset Management Firm Global Head of Public RelationsMid-Sized Global Investment Manager Director of Human ResourcesMajor Family Office* Chief Financial Officer

* Assignments were recruiting engagements led by George Wilbanks at Russell Reynolds Associates

June 2015Wilbanks Partners LLC: Introduction

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V. Wilbanks Partners Team

June 2015Wilbanks Partners LLC: Introduction

Wilbanks Partners Team

18

George Wilbanks spent over 26 years building the asset and wealth management practice at Russell Reynolds Associates to an industry leading position before founding Wilbanks Partners LLC in 2011. Earlier he had worked with a venture capital and family office business Agtek International, and then The Dreyfus Corporation in business development as Assistant to the Chairman. A graduate of Williams College with a degree in Political Philosophy, he subsequently earned his MBA in Marketing at New York University’s graduate school of business.

Direct: (203) 303-7766Mobile: (203) 856-8436

E-mail: george@wilbankspartners.comwww.wilbankspartners.com

June 2015Wilbanks Partners LLC: Introduction

Our Team

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Susan Walser worked with George in the New York Office of Russell Reynolds with a specialization in finance. She currently is running the Norumbega Inn in Camden, Maine with her husband, a widely acclaimed chef. Earlier she had her own consulting business in New York, Mosaic Strategy Consulting, and worked for two other retained executive search firms. In her career prior to executive search, she served as a finance executive for 14 years, including nine years at Bristol-Myers Squibb, lastly as Senior Director of Investor Relations, and earlier held finance roles at AlliedSignal and Deloitte & Touche. Susan received her B.S. from the University of Connecticut and her MBA from the Darden School of the University of Virginia.

Cindy Koehn has served the financial service industry for more than two decades, most recently as Senior Vice President for Corporate Communications and Investor Relations at Wells Fargo. She began her career in finance as an investment banker with First Boston, and subsequently as a recruiter and member of the Financial Services practice group at Russell Reynolds Associates. Cindy is a graduate of Stanford University.

Neil Callaghan has over 20 years experience in the financial services industry and founded SEIN Research. He worked with George at Russell Reynolds Associates for a decade, heading the Asset & Wealth Management research activities. He began his career in research with Wasserstein Perella, and has an undergraduate degree in Economics from Stonehill College and a Masters in Information Sciences from Long Island University/C.W. Post.

June 2015Wilbanks Partners LLC: Introduction

Our Team

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Beverly Love worked with George at Russell Reynolds Associates in the asset and wealth management practice. Previously, she worked in the office of the Chief Economist of Morgan Stanley & Company for five years. She earned a Masters from Southern Methodist University and an undergraduate degree from Abilene Christian University. She is also an emerging jugendlich-dramatische soprano with an extensive repertory.

Carol Karpf most recently served as Founder & Director of the SaltLight Center, an emergency homeless shelter for woman and children, and remains affiliated with SaltLight and its parent organization, Family Promise, in an advisory and fundraising capacity. She began her career with Ernst & Young as an Analyst in the Fraud & Investigative Disputes Services Group and subsequently was an Marketing Associate in the firm’s Financial Services Advisory Group. Carol earned a BSBA in Accounting from the University of Georgia’s Terry College of Business.

Amanda Finch began her career in search as a recruiter for Todays Office Professionals and subsequently transitioned to marketing and promotion, most recently working with Allstate Promotions/Jagermeister North Florida and the National Opera Center. She currently manages digital marketing for the critically acclaimed Gotham Chamber Opera and also assists that company in production and grant research. An emerging mezzo soprano, she earned a Masters from the University of Michigan and an undergraduate degree from the University of North Florida.

June 2015Wilbanks Partners LLC: Introduction