1. Prospective
Client Guidance
System
____ _____
Emily Koontz
_________ ____
_____ _____
*Other group member names have been hidden for privacy purposes

2. Current Situation
 Lead system in place, but similar to first page
of application (& poor visibility)
 “[of 1.8 million] only 30% of people who
begin the new account application process
reach the second page” – Mike Burns,
eCommerce
 Possible need for increased interaction with
prospective clients (step toward guidance)

3. Questions We Considered
 Why are prospective
clients not completing
the application?
 Do more people want
guidance/interaction with
representatives?
 How can we get people
to continue to the second
page?

4. Project Objective
 Prompt prospective clients to finish
application (target the 70%)
 Business Model: open acct, fund, x-sell
(don’t push product immediately)
 Ideas:
 Option to save form and finish later (user Id
and password); emphasize convenience
 Help/Guidance:
 Contact Us, Have Us Contact You, & Live Chat
(stationary) buttons

5. Target Market
 Primarily new investors
 Those who are shopping around
various investor service
companies
 What makes our model appear
to be more appealing than other
brokerage firms?
 Differentiation of brand/service

9. Information Desired by NCDG
 Additional (optional)
questions:
 Amount of time left until
retirement?
 Type of investor? (i.e. self-
directed, etc.)

10. CEO Updates/Goals
 $13.4 billion net new assets as of third quarter
 $40 billion this year
 Matched total retail NNA for 2013 by Q3 of 2014
 Increase of 20% in new account pull through rate
 “In order to attain higher Net New Assets, we
need to acquire a broader investor profile.
Broaden out guidance capabilities, as well as
look at some specialized roles.” – David Lynch,
Managing Director of Retail Sales

11. Figures
 TD Ameritrade retail account, $88,050 in
assets
 Assuming 100 people are going to bring in
avg. amount of $88,050, according to Mike
Burns only 30 people will go through with
that. Potential assets are $2,641,500.
 If we increase that figure by 3%, it’ll be
$2,905,650 (diff. of $264,150)

12. Summary
 We have spoken with associates in NCDG and
eCommerce who have identified these same
issues
 As we speak, there are hundreds of millions in
potential assets going out our doors and into other
firms
 How do we generate new client assets in places
where we don’t have a physical branch?
 Example: Scottrade’s 300+ branches

13. Thank you!
Any questions?