Firm Overview & Growth Strategy

A fee-based wealth management firm.

Offering dedicated financial services to private clients and businesses.

Building trusted relationships on our core strengths and competencies.

Our Story. ICM Private Client Group was formed after a long tenure under Independent Capital Management. With a new, forward-thinking business model the new independent firm focuses on fee-based wealth management and comprehensive financial planning. A strong conviction in building an ensemble team to serve its mass affluent families and businesses, the team prides itself on establishing intimate relationships with its clients. Technology, independence, and innovation also help to set the firm apart.

Technology Integration

Ensemble Team

Fiduciary Focus

Independent Advice

Relationship Driven

Why We’re Unique. Created for the client. Built with the foresight and vision for the future. Not all wealth management and financial services firms are the same. We set out to build a firm that is unique. We were meticulous in our approach and execution in structuring our firm to be a fresh and attractive firm for both clients and advisors alike.

Employ talented and experienced advisors

Empower our advisors to take ownership

Eliminate conflicts of interest

Embrace transparency and continuity

Encourage an entrepreneurial environment

ICM Private Client Group was built to:

Our business model leverages the offerings of a large firm, but delivers value with a boutique independence.

We’re building ICM Private Client Group with intention, aligning our interests with

the interests of our clients.

WE’RE PASSIONATE AND HAVE A DESIRE TO SERVE OUR CLIENTS

We set out to innovate the landscape of the wealth management norm.

Our model has allowed us to develop a team of top talent.

We are forward-thinking and dedicated to long-term continuity

Our team is diverse and offers a unique perspective.

We use the most innovative financial planning technology.

Our ensemble team supports both our advisors and their clients.

Our Mission. Our goal is simple: To ethically advise our clients on their affluence, their influence, and ultimately, their legacy.

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1:4

Corporate Structure. Infrastructure designed to keep advisors in front of clients. When we built our business model, an ensemble team was the first block we agreed upon. We came from a world where advisors were responsible for everything with little to no administrative support. As a comprehensive firm, we also realized the importance of using the industry-leading financial planning software.

Marketing Associate

Financial Planner

Client Service Representative

The CSR is responsible for client communication, organization, scheduling, paperwork, and other administrative tasks that free up the wealth advisor to be with their clients.

The FP is primarily responsible for the firms financial planning tool, eMoney Advisor. They also begin building their own book of business and working toward their CFP designation.

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The MA is responsible for what we coin “the front of the house” role which includes typical receptionist duties, but focuses more on the execution of the firms marketing plans.

Firm Leadership

Wealth Advisors

Client Service Reps

Financial Planners

Marketing Associates

MICHAEL C. GALLOPManaging Partner

BRYAN S. SONDERBYManaging Partner

STEVE RUBINSTEINPartner, Advisor

BRANDON CASSPartner, Advisor

STEVE STATZERWealth Advisor

KELLEY BRAAKSMAWealth Advisor

JEFFREY GARDNERWealth Advisor

RAWLINS HEATONClient Relations

DANIEL MCMAHONFinancial Planner

We believe a firm comes down to its people. From our advisors to our staff to management, we love doing what we do.  We consistently try to create an entrepreneurial culture that challenges and rewards.  The average tenure of our advisors is 15 years and the firm has over 100 years of planning experience. We believe it is important to keep our talented advisors happy to ensure an aligned long-term vision.  This is why we built our creative business model the way we did, to deliver a value proposition that is relational and consistent in nature.

Pros • 80-95% payouts • Book ownership • Independence • Entrepreneurship • Technology

Cons • No overhead support • No support staff • No employee benefits • No deferred compensation • No brand / “lone wolf”

Pros • Overhead support • Dedicated assistant • Employee benefits • Deferred compensation • Name recognition

Cons • 30-50% payouts • Proprietary pressures • Quotas and minimums • No book ownership • Technology

Wirehouse Independent� 60-90% payouts � Book ownership and autonomy � 100% of overhead is covered � Dedicated ensemble team

� Firm Leadership � Client Service Rep � Financial Planner � Investment Committee � Certified Estate Specialist

� Industry leading technology � Entrepreneurship culture � Partnership opportunity

ICM Private Client Group

The Hybrid Hybrid. Blending the best of all worlds. We pride ourselves on being able to deliver on a value proposition that marries the best of the wirehouses and regionals with the independent broker-dealers and RIAs. Our generous payouts, ensemble team, firm infrastructure, entrepreneurial culture, industry leading technology, and firm ownership allow us to offer transitioning advisors with a hybrid opportunity with a dually-registered firm.

Primary Targets

Our recruiting strategy was built on a three-pronged approach - active, passive, and strategic.

Seeking Talent. Recruiting Transitional Advisors. Advisors interested in transitioning their practice are faced with many options. What business model can provide the breadth, flexibility and expertise required to deliver on a unique value proposition? As the financial services industry continues to evolve, advisors expect more choice and flexibility in their practices. The best choice for a specific advisor will depend on the needs of their clients and professional objectives. Therefore, it would seem to be in a firm’s best interest to be able to adapt and create value where there currently is none.

Secondary Targets

WE’RE DETERMINED TO FIND LIKE-MINDED PARTNERS AS WE GROW

Advisor networking events in strategic locationsActive

Passive Online resources and social media interaction

Strategic Engaging trusted wholesaler relationships

Events LinkedIn Wholesalers Succession