Developed by

“ T he De t a i l s Beh i nd t h e Suc c es s ”

Introducing WealthWorx® Process Solutions for Wealth Management

Industry Expertise Delivered with Business Process Management (BPM) Technology

…will transform existing processesin your organization, deliver cost savings,

and increase productivity.

Our PerspectiveThrough years of helping clients through mergers, acquisitions, system implementationsand strategic development initiatives, we understand the tremendous processing challengesfaced by Wealth Management organizations:

n Organization and processes are becoming increasingly complex through yourefforts to deliver a more comprehensive investment product and service offering.

n Cost, regulatory and control demands conflict with your ability to deliverhigh-quality client service.

n An increased number of software applications required to run your businessmeans that traditional point-to-point application integration is no longer affordableor effective. Many of these applications were developed decades ago and accordingto somebody else’s definition of “best practice”. Today, they constrain the way yourun your business.

This convergence of increased complexity, systems that don’t talk to each other andconflicting demands on how you run your business has resulted in processes that havebecome more manual, more cumbersome and more error-prone. We find them too oftenmanaged through forms, checklists and swivel-chairs.

Transforming the Middle OfficeWEALTH MANAGEMENT FIRMS TRADITIONALLY HAD DISTRIBUTEDCLIENT SERVICE AND INVESTMENT MANAGEMENT ORGANIZATIONSn Emphasis on strong client relationshipn Standardization, efficiencies, and compliance very difficult

CENTRALIZED SERVICE ORGANIZATIONS ENABLE EFFICIENCY AND SCALEn Most effective for non-client facing (back office) operationsn Not suited for client relationship demands of a typical

Wealth Management client

MANY FIRMS HAVE CREATED THE “MIDDLE OFFICE” IN ANEFFORT TO CREATE EFFICIENCIES FOR CLIENT-FACING PROCESSESn Heavy reliance on forms and manual hand-offsn Client relationship ultimately suffersn Desired efficiencies never obtained

WEALTHWORX® ENHANCES THE CLIENT RELATIONSHIP WHILEENABLING EFFICIENCIES, CONTROL AND SCALE

WealthWorx® is a comprehensive anddynamic solution that can be quickly implemented,

easily used, and continuously modified to

drive ongoing process improvement and

enable lower support costs over the long term.

WealthWorx® is a comprehensive Business Process Management (BPM) solution designed for the WealthManagement Industry. Developed in strategic partnership with Appian Corporation, WealthWorx® combinespre-developed workflows, integration and delivery services with the best in BPM technology. It is a definedset of process solutions that can be customized by any organization.

n Decrease costs by automating processes acrossthe organization to eliminate repetitive tasks.

n Improve quality by eliminating missed steps.n Enhance customer satisfaction by completing

tasks quickly and error free.

n Reduce risks by improving controls,driving policy, and enforcing compliance.

n Empower staff to collaborate, manage andcontinuously improve processes.

WealthWorx® is an application neutral platform which can be implemented as a standalone automationsolution or integrated with any number of applications.

WealthWorx® ProcessesClient Administrationn Account Qualification, Acceptance and Openingn Account Fundingn Administrative Reviewn Bill Paymentn Client Service Requests

Operations Forms Automationn Transaction Reversals/Adjustmentsn Asset Movement/Transfern Asset Setup/Maintenancen Special Asset Handlingn Trade Cancellation/Correction

Implementation Methodology

DISCOVERY ANDASSESSMENT

Inventory and documentexisting processes.

Strategic assessment oforganizational needs to identifyprocesses that will achieve the

greatest benefit.

PROCESS DESIGNAND PROTOTYPE

Leveraging pre-developedbaseline workflows, we

develop processes optimizedfor your organization.

Before technical resourcesare expended, we configure andtest the processes in a hosted

prototype environment.

IMPLEMENTATIONOnce you are satisfied with theprocess design, we completeany integration work required

and work with you to implementthe software in your preferred

application environment.

CONTINUOUSIMPROVEMENT

Your staff is trained andempowered to continuously

improve the automatedprocesses. We also offer

options for ongoing support,maintenance and ASP services.

n Speed of ImplementationPre-developed processes and interfacesenable more rapid implementation andquicker return on investment.

n Reduced RiskProven processes and methodologiesprovide guidance for a quality implementation.

n More Effective and Comprehensive ProcessesIndustry expertise and experience leveragingBPM technology will transform processes inyour organization.

n Innovation and ChangeWe facilitate consensus and manage changefor true process innovation.

Oakbrook Focus and ExpertiseSince 1999 Oakbrook Solutions, Inc. has been providing systems, process and delivery expertise to thewealth management industry. Our industry focus and expertise enables us to deliver unmatched value toyour process improvement initiatives:

Automaten With simple web-based toolsn Utilizing step-by-step web formsn With no programmingn Change them as needed

Managen Built-in tasks lists and SLAsn Integrated with MS Outlookn Automatic escalation and notificationn Real-time dashboard reporting

Enrichn Integrated portal technologyn Case managementn Document managementn Discussion forums

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www.oakbrooksolutions.com

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