Date: 10.16.15

Cetera Financial Group Broker-Dealers Win Prestigious Industry Awards from for Contributions to Practice Management and Advisor Transition Support

First Annual Industry Awards Program From Top Industry Media Outlet Recognizes Cetera’s 90-in-90 Transition Plan and First Allied’s Pentameter Business Consulting Tool

Los Angeles, CA – Cetera Financial Group, a leading network of independent broker-dealer firms, announced today that it won two prestigious industry awards in the categories of Transition Support for its 90-in-90 plan and Practice Management for First Allied Securities’ (First Allied) Pentameter® tool at the inaugural 2015 Industry Awards. The winners, determined by a panel of independent judges, were announced on September 24, 2015, at a gala dinner in New York City, attended by hundreds of top financial advisory industry professionals from across the United States. The Industry Award program was designed to recognize companies and organizations that make outstanding contributions to support financial advisor success.

Transition Support

Among broker-dealers serving 1,000 advisors or more, Cetera’s 90-in-90 plan took top honors in the Transition Support category. The advisors who follow the program have reaped the benefits with a high rate of satisfaction, transitioning 90% of their book of business in the first 90 days of affiliation.

Erinn Ford, President of Cetera Advisors, a firm within Cetera’s network of independent broker-dealer firms, accepted the award on behalf of the entire network. Ms. Ford said, “We are extremely grateful to be recognized for providing award winning transition support to advisors through our innovative 90-in-90 plan. Our team designed the 90-in-90 plan to help advisors transition to Cetera with minimal impact to their clients and revenue, while also minimizing the stress on the advisor and their employees. Our ability to help transitioning advisors capture 90% of their accounts in 90 days continues to fuel our recruiting efforts.”

Practice Management

In the category of Practice Management for broker-dealers serving fewer than 1,000 advisors, First Allied received accolades for its new Pentameter tool. Pentameter is a comprehensive practice management system coupled with an integrated consulting process developed to provide its advisors with an innovative, centralized reporting dashboard. The tool is based upon five criteria for advisor success: development, efficiency, human capital, management and succession planning.

Kevin M. Keefe, President and Chief Executive Officer of First Allied, was present to accept the award. Mr. Keefe commented, “We are honored to receive this prestigious industry award for our Pentameter platform, as we continue to empower our advisors to become true CEOs of their firms. Pentameter provides a holistic ecosystem of tools and services to help advisors build and strengthen their businesses for the long term through the combination of analytics, value-added resources and strategic planning.”

Following the success among First Allied advisors, Cetera Financial Group has begun a network-wide rollout of the Pentameter system, which includes the unveiling of several new strategic features and an expanded group of Subject Matter Experts and Business Consultants to help drive even deeper engagement and growth.

About First Allied

Based in San Diego, First Allied serves as the firm of choice for accomplished independent financial advisors from across the nation who seek to grow their businesses. Our exclusive business development platform has been expertly constructed to provide entrepreneurial financial advisors with one of the most comprehensive platforms for growth in the industry. First Allied is part of Cetera Financial Group®, the leading network of independent broker-dealers and retail financial advice platform for RCS Capital Corporation (NYSE: RCAP), a full-service investment firm expressly focused on the individual retail investor. First Allied Securities is part of First Allied Holdings, which also includes The Legend Group, a specialized provider of investment and retirement solutions to the not-for-profit space, including 403(b) accounts.

First Allied offers securities through First Allied Securities, Inc., a registered broker/dealer, member FINRA/SIPC. Advisory services are offered through First Allied Advisory Services, Inc., a registered investment adviser. For more information, please visit

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, The Legend Group, Summit Brokerage, 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 approximately 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 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, investment banking, capital markets, investment research, investment management and crowdfunding and, until the completion of a recently announced pending sale, wholesale distribution, 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 RCS Capital Corporation and Cetera Financial Group and members of their respective management teams, 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 undertakes 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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