As an independent broker/dealer, Capital Analysts Incorporated (CAI) welcomes and supports a variety of business models. We take a pro-active approach to communicating with our representatives through frequent surveys and a Field Advisory Committee. Our representatives drive the direction of the CAI. Call our recruiter, Keith Mistretta, at (888)404-1177 to learn more about how we can help you achieve greater success.

Question: Which business models does CAI best support?
Answer: We provide a high level of support and services for financial planners, estate planners, and fee-based advisors who value long-term relationships.

Question: Are CAI representatives considered independent?
Answer: Yes. Our representatives are independent contractors who own and run their practices. They enjoy the freedom to choose how best to serve their clients.

Question: Does CAI have proprietary products?
Answer: No. We recognize that independent representatives must be objective to provide the best possible advice to clients, and therefore, free from pressure to sell specific products. We have approved a comprehensive list of mutual funds, variable products, alternative investments, and money managers.

Question: To what extent does CAI provide support with investment research and portfolio design?
Answer: CAI offers a broad spectrum of proprietary research including the on-going evaluation of over 10,000 mutual funds, 1,500 stocks, and 1,000 money managers, as well as variable products and alternative investments. Our research team is comprised of a seasoned staff of professionals, including two members who hold the CFA designation. They are available to assist you with your clients’ research needs and portfolio design.

Question: What are the payouts at CAI?
Answer: Payouts are based on branch office production. In addition, we provide cash bonuses to the Managing Associate of the branch beginning at $750,000 GDC. Deferred Compensation is available for top producers.

GDC
$300,000 and above	90%
$200,000 to $299,999	85%
$100,000 to $199,999	80%
$ 50,000 to $ 99,999	70%

Question: Do you have minimum production requirements for branch offices and individual representatives?
Answer: The minimum GDC production required to be designated as a stand-alone branch office is $100,000. Any individual representatives doing less than $25,000 GDC will be assessed an annual administrative fee of $750. This fee is waived for the year a representative joins, and the first full year after that.

Question: Does CAI provide transition help?
Answer: Yes. In fact, our experienced team will work with you every step of the way to assure a smooth and seamless transition.

Question: What technology support is available at CAI?
Answer: CAI’s broad range of technology includes the following:

• A web-based, fully consolidated statement with performance reporting
• Online trading and access to the latest news and research
• Automatic filling of forms
• A paperless solution for your office
• Accurate downloading of forms when opening new accounts

Question: What does CAI offer to help me increase my client base and revenues?
Answer: CAI provides customized practice management support to any representative that is serious about growing their practice. We will work with you in areas such as marketing, transitioning to a fee practice, successful seminars, staffing an office, developing a referral system that works, time management, etc. The service is customized to your practice. We are serious about helping your business flourish.

Question: Describe CAI’s approach to compliance?
Answer: The compliance staff at CAI is business-friendly in its approach to helping you comply with regulations. For example, we have a policy to review sales and advertising literature within 72 hours of submission. You have a business to run, and our compliance staff is committed to helping you succeed.

Question: What kind of customer service is provided to representatives?
Answer: CAI has a state-of-the-art Call Center staffed by trained Field Relations Representatives (FRR). If your FRR is on the phone helping another representative when you call, you will not be lost in voice mail. The system is designed to “bounce up” to the next available FRR. It will continue up the line until someone answers the phone. In fact, everyone at the home office, including senior management, answers their own phones.