From asset gathering plans to client referral programs, we help asset managers and brokerage firms expand and improve their business.

Sample Projects

Investment Advisor Research Preferences

A brokerage firm asked CFSC to help it understand investment advisors’ approach to mutual fund research, as well as their preferences for information sources. CFSC interviewed advisors and assessed their interest in brokerage reports that would assist them in evaluating and selecting mutual funds. CFSC found that most advisors adhere to a consistent investment philosophy and employ a structured review process, generally consisting of a preliminary screen, an in-depth review, and placement of winners on the firm’s “bench” of funds available for portfolio placement. As a result, they have a limited interest in brokerage-firm supplied research reports, which they suspect may duplicate their own research efforts and pose a conflict of interest.

Brokerage Asset Gathering Programs

An online brokerage firm asked CFSC to define an actionable strategy for motivating existing customers to transfer and maintain additional assets. CFSC reviewed marketing strategies, results, and customer research for both our client and competitors, conducted an analysis of leading advisor and direct programs and results, and provided detailed marketing program recommendations.

Mutual Fund Wrap Program

To help a national bank successfully gather and consolidate consumers’ financial assets, CFSC created a blueprint for a mutual fund wrap program designed to be administered by financial advisors. The blueprint was based on a thorough review of competitors’ consolidation services and programs, legal requirements, and marketing practices.

Print-on-Demand Welcome Kit

CFSC helped a brokerage firm convert its welcome kit from a dry, impersonal mailing to a personalized, informative document that costs less to produce. We converted the welcome kit to a print-on-demand format by designing a flexible layout that accommodated variable content and crafting copy that supported 28 different kit configurations. The new format decreased the cost per kit by 23%, eliminated obsolete inventory, and reduced cycle time from months to days.