Date: 04.30.15

Cetera Financial Group Announces Network-Wide Rollout of Pentameter® Practice Management Platform to Support Growth and Value of Financial Advisors’ Businesses

Proprietary Practice Management Platform and Integrated Consulting Process Enable Advisors to Assess Performance and Develop Strategic Business Plans

Demonstrates Commitment to Expanding Industry-Leading Resources to All Broker-Dealers and Financial Advisors Within Cetera Financial Group

Los Angeles, CA – Cetera Financial Group (“Cetera”), a leading network of independent broker-dealer firms, announced today the rollout of the Pentameter® practice management system and integrated business consulting process across its network of broker-dealers and its affiliated financial advisors.

Originally developed by Cetera Financial Group member broker-dealer First Allied Securities, Pentameter provides financial advisors with an innovative, centralized reporting dashboard enabling them to effectively assess the strengths and weaknesses of their practices. In addition, advisors can set goals and develop business plans to help them identify and leverage the best resources within the broader Cetera network to grow their businesses and build long-term enterprise value.

Pentameter is designed to strengthen the relationship between advisors and Cetera’s Business Consulting team by giving the team a better understanding of all aspects of advisors’ business models, so that Cetera’s business consultants can quickly add value to advisors’ practices. The network-wide rollout of Pentameter, which includes the unveiling of several new strategic features, further demonstrates Cetera’s ability to identify distinctive, innovative resources within each of the network’s member broker-dealer firms and build upon those resources for the benefit of all of its broker-dealers and affiliated financial advisors.

Adam Antoniades, President of Cetera Financial Group, commented, “We are very excited to make the industry-leading, innovative Pentameter platform available to all of Cetera affiliated advisors. By giving our advisors a sophisticated level of visibility into their own businesses and linking each of them directly to resources that can most effectively help them capitalize on the opportunities available to them, Pentameter puts the power of the Cetera network behind each of our advisors. In addition, by helping our outstanding Business Consulting professionals understand how they can effectively add value to an advisor’s practice, we expect Pentameter will enable a higher level of engagement between our advisors and the professionals who are positioned to help them achieve their long-term strategic goals.”

The Pentameter system and consulting process help advisors assess and optimize their businesses based on five critical measures of business success: business development, operational efficiency, human capital, business management and succession planning. Using the platform’s targeted diagnostic evaluation, advisors can quickly and accurately gauge their practices’ strengths and areas of improvement for each of the five measures and develop comprehensive business plans that will help build their practices. Advisors also have the ability to track their progress using the platform’s real-time financial metrics. Additionally, Pentameter draws on the results of the initial assessment to direct advisors to the appropriate resources within Cetera to address each practice’s specific challenges and opportunities, including contacts within the Cetera Business Consulting team, tools available through Cetera’s Connect2Clients® advisor marketing platform, dedicated business acquisition and succession planning resources, and many others.

Since the initial launch of Pentameter in June 2014 to First Allied-affiliated advisors, over 40% of First Allied advisors have utilized the platform, including more than 50% of advisors generating $1 million or more in annual revenue. This robust adoption rate has led to a deeper level of engagement between First Allied advisors and the Cetera Business Consulting team, as evidenced by the significant number of these advisors who have developed new long-term business plans through the platform and the strong growth many of them have experienced since the system’s inception. As part of the wider rollout of the platform, Cetera has added new tools to Pentameter, including a basic valuation measure to help advisors understand the impact of their day-to-day progress toward their goals on overall business value, enhanced analytical tools available through the platform’s dashboard and expanded access to third-party content and expertise through the portal.

David Johnston, Managing Partner of Amwell Ridge Wealth Management, a Cetera-affiliated financial advisory practice in Flemington, NJ, commented, “I have been using the Pentameter platform since it launched in June, and the benefits for me and my practice have been remarkable. The platform’s diagnostic and tracking tools have given me a clearer view of what I need to do to maximize the value of my business over the long term. Pentameter also allows me to identify and leverage highly-targeted resources to help me achieve my growth goals, and enables me to coordinate more effectively with the Business Consulting team in order to capitalize on the opportunities that are available to me. The insight and guidance I received from Pentameter and our Business Consultants proved invaluable to me in crafting my plan for Cetera Financial Group’s Business Plan Challenge, and in helping me finish as one of the winners. Their tremendous support has continued now that I have moved into the implementation phase.”

Mr. Antoniades concluded, “As we previously demonstrated with the Connect2Clients platform, Cetera is committed to delivering effective, innovative tools from across our network to each advisor we serve. With Pentameter, we are providing our advisors with the tools they need to realize an even greater level of control over their businesses and their future.”

About Cetera Financial Group

Cetera Financial Group is the retail investment advice platform of RCS Capital Corporation (NYSE: RCAP). It is comprised of eleven firms – four legacy Cetera-branded firms (Cetera Advisors, Cetera Advisor Networks, Cetera Investment Services, marketed as Cetera Financial Institutions, and Cetera Financial Specialists) along with First Allied Securities, Investors Capital, J.P. Turner and Company, The Legend Group, Summit Brokerage and recently acquired VSR Financial Services and Girard Securities. The platform is the second largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Cetera Financial Group delivers award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, and innovative technology to over 9,500 independent financial professionals and over 600 financial institutions nationwide. Through its distinct firms, Cetera Financial Group offers the benefits of a large, established and well-capitalized broker-dealer and registered investment adviser, while serving independent and institutions-based financial advisors in a way that is customized to their unique needs and aspirations. Cetera Financial Group is committed to helping advisors grow their businesses and strengthen their relationships with clients. For more information, visit

About RCS Capital

RCS Capital Corporation (NYSE: RCAP) is a full-service investment firm expressly focused on the individual retail investor. With operating subsidiaries including retail advice services, wholesale distribution, investment banking, capital markets, investment research, investment management and crowdfunding, RCS Capital’s business is designed to capitalize, support, grow and maximize value for the investment programs it distributes and the independent advisors and clients it serves. Additional information about RCS Capital can be found on its website at RCS Capital may disseminate information about itself, including the results of its operations and financial information, via social media platforms such as Facebook, LinkedIn and Twitter.

Important Notice

The statements in this press release include statements regarding the intent, belief or current expectations of Cetera Financial Group and members of its management team, as well as the assumptions on which such statements are based, and generally are identified by the use of words such as "may," "will," "seeks," "anticipates," "believes," "estimates," "expects," "plans," "intends," "should," "look forward" or similar expressions. Actual results may differ materially from those contemplated by such forward-looking statements due to certain factors. Additional factors that may affect future results are contained in RCS Capital's filings with the SEC, which are available at the SEC's website at Further, forward-looking statements speak only as of the date they are made, and neither Cetera Financial Group nor RCS Capital undertake any obligation to update or revise forward-looking statements to reflect changed assumptions, the occurrence of unanticipated events or changes to future operating results over time, unless required by law.

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