Investors Capital Holdings Ltd
Investors Capital — Merger or Acquisition (October 2013)
10 slides from Investors Capital's merger presentation, Oct 28, 2013
Slide 1: RCS Capital Investor Presentation
1 RCS Capital Investor Presentation October 28, 2013
Slide 2: Cautionary Note Regarding Forward-Looking Statements
2 Cautionary Note Regarding Forward - Looking Statements • Information set forth herein contains “forward - looking statements” (as defined in Section 21E of the Exchange Act), which reflect RCS Capital Corporation’s (“RCAP”) expectations regarding future events. The forward - looking statements inv
Slide 3: Important Additional Information Filed With the SEC
3 Important Additional Information Filed With the SEC • RCAP plans to file with the SEC a Registration Statement on Form S - 4 in connection with the proposed transaction and Investor Capital Holdings, Ltd. plans to mail to its stockholders a proxy statement in connection with the proposed transacti
Slide 4: Executive Summary: Transaction Overview
American Realty Capital 4 Executive Summary Transaction Overview » RCAP has agreed to acquire 100 % ownership of the shares of ICH (NYSE : ICH) » Summary of transaction terms : ▪ Purchase Price : o $ 7 . 25 per share fully diluted o $ 52 . 5 million ▪ Consideration o Up to 60 % cash and up to 100 %
Slide 5: Executive Summary: ICH Overview
American Realty Capital 5 » Based in Lynnfield, MA, ICH is led by Timothy Murphy ; President and CEO » ICC is one of the premier independent broker - dealers in the United States with over 450 brokers located throughout the United States ▪ $ 84 . 9 million 2013 Estimated Revenue ▪ $ 195 , 000 averag
Slide 6: RCAP Platform Evolves and Diversifies
6 Executive Summary RCAP Platform Evolves and Diversifies Investment Bank Wholesale Distribution Services Transfer Agent Mutual Fund Advisory Retail Brokerage
Slide 7: Transaction Rationales
7 Transaction Rationales ICH will add a retail network to RCAP’s diversified business line platform. » Diversify and enhance revenue » Expand and complement existing distribution channels through a sales force of 550 financial advisors » Widen geographic footprint » Enhance organic business growth p
Slide 8: ICH Financial Advisor Footprint
8 ICH Financial Advisor Footprint ICH * over 300 Branches • over 450 Advisors ICH will form RCAP’s retail brokerage business line with 450 advisors across 37 states
Slide 9: Summary of Key Transaction Terms
American Realty Capital 9 Summary of Key Transaction Terms • RCAP to acquire 100% of shares of ICH Transaction • The acquisition will be funded using IPO proceeds Capital • ICH creates a retail brokerage business line for RCS, complementing the existing wholesale distribution, banking, transaction m
Slide 10: Leadership Team Biographies
10 2 Leadership Team Biographies John G. Cataldo, Esq. – Chief Compliance Officer » Joined the Firm in March 2009 » Formerly member of the securities practice group at a major international law firm and an enforcement counsel in the Securities Division of the Office of the Secretary of the Commonwea
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