Sway Research DCIO Services

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Overview of Sway\'s DCIO research and consulting services

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Sway Research DCIO Services

  1. 1. Sway ResearchDCIO Products and Services<br />Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  2. 2. Agenda<br /><ul><li>Background
  3. 3. Areas of expertise
  4. 4. DCIO Products and Services
  5. 5. Overview
  6. 6. DCIO metrics tracked
  7. 7. In-depth research studies
  8. 8. Study calendar
  9. 9. Custom DCIO research
  10. 10. Representative clients</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  11. 11. Background<br /><ul><li>Chris J. Brown—founder and principal
  12. 12. Began financial services career as a Smith Barney Financial Consultant in the early 1990’s
  13. 13. With Financial Research Corp. from 1997 to 2006
  14. 14. VP, Director of Research 2000-2002
  15. 15. Founded Retirement Market Research unit in 2003
  16. 16. Launched the syndicated research business of Cogent Research in October 2006
  17. 17. Founded Sway Research in July 2007
  18. 18. Single employee model with broad network of contractors that specialize in specific research areas or market segments</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  19. 19. Expertise<br /><ul><li>Author of the following in-depth research studies
  20. 20. Defined Contribution
  21. 21. IODC Growth Trends (FRC, Jun. 2004)
  22. 22. Optimizing IODC Distribution (FRC, Jun. 2005)
  23. 23. Keys to Success in the Small Business Retirement Market (FRC, Feb. 2006)
  24. 24. Aligning an Organization for Platform Sales Success (Sway, Jan. 2008)
  25. 25. Best Practices in DCIO Sales and Marketing (Sway, Oct. 2008)
  26. 26. Demographic Research
  27. 27. IRA Rollover Trends (FRC, Nov. 2003)
  28. 28. Converting Retirement Income Planning into Practice (FRC, Aug. 2006)
  29. 29. Investor Brandscape (Cogent Research, Feb. 2007)
  30. 30. Capturing the Hearts & Wallets of Peak Accumulators (Sway/MHC, Apr. 2009)</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  31. 31. DCIO Products and Services<br />Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  32. 32. Product & Service Overview<br /><ul><li>In-depth research studies
  33. 33. Custom research
  34. 34. Competitive benchmarking
  35. 35. Marketplace intelligence
  36. 36. Strategy consulting
  37. 37. Distribution and marketing strategy
  38. 38. Organizational alignment
  39. 39. Executive strategy sessions
  40. 40. Launch of an initiative or facilitation of a strategic planning session
  41. 41. Data licensing
  42. 42. Utilize Sway data and analysis in whitepapers and/or value-add programs</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  43. 43. DCIO Business Metrics Tracked<br />Sales & Assets<br /><ul><li>Annual gross sales
  44. 44. Annual change in DCIO assets
  45. 45. Sales to assets
  46. 46. Sales by channel
  47. 47. Annual goals vs. actual gross sales
  48. 48. # of focus partner platforms
  49. 49. % of sales from focus partners</li></ul>Sales & Marketing Budgets<br /><ul><li>Annual sales spend
  50. 50. Annual marketing spend-total and across categories
  51. 51. Annual spend by channel
  52. 52. Annual sales spend per salesperson</li></ul>Sales & Marketing Staff<br /><ul><li># of full-time sales and marketing personnel by function
  53. 53. Productivity – gross sales per salesperson
  54. 54. Avg. years of experience
  55. 55. DCIO assets per FTE
  56. 56. Total comp.– externals, internals, key accounts, and consultant relations
  57. 57. Variable comp. components
  58. 58. Profitability across market segments
  59. 59. Sales force time allocations</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  60. 60. In-Depth Research Studies<br />The State of DCIO Distribution 2010 – To be published October 2009<br /><ul><li>In-depth study based on surveys and interviews with DCIO sales leaders (19) and platform gatekeepers (11)
  61. 61. Featuring
  62. 62. Analysis of DCIO profitability across products (Fund, CIT, Sub-advisory)
  63. 63. Sales force productivity per head
  64. 64. Sales force size and structure
  65. 65. Annual DCIO sales and marketing budgets
  66. 66. Allocation of sales force time and marketing budgets
  67. 67. Best practices in fostering cross-organizational cooperation
  68. 68. DCIO compensation benchmarks and trends
  69. 69. Impact of the market crash on investment menus
  70. 70. Gatekeeper outlook for manager change activity
  71. 71. Outlook for Target-Date and QDIA alternatives
  72. 72. 10 Principles for DCIO sales success</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  73. 73. In-Depth Research Studies Continued<br />Best Practices in DCIO Sales and Marketing – Oct. 2008<br /><ul><li>Based on surveys and interviews of DCIO leaders (14), DC platform gatekeepers (9), and retirement advisers (107)
  74. 74. Featuring
  75. 75. Benchmarks for DCIO budgets and sales force headcounts
  76. 76. DC platform gatekeepers’ perspectives on best-in-class sales support
  77. 77. Retirement advisers’ insights into preferred value-add programs
  78. 78. Sales force productivity benchmarks and strategies for enhancement </li></ul>Aligning an Organization for Platform Sales Success – Jan. 2008<br /><ul><li>Based on surveys and interviews of platform sales executives at 10 leading asset management companies
  79. 79. Featuring
  80. 80. Strategies for integrating sales and marketing functions across platform businesses
  81. 81. Sales force compensation models
  82. 82. Investment-only profitability benchmarks</li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  83. 83. Smaller Scale Studies in Slide Deck Format <br />2008 Market Crash Impact Survey – Feb. 2009<br /><ul><li>Slide deck analysis of a survey of 17 DCIO business leaders
  84. 84. Featuring
  85. 85. Insights into the impact of the 2008 crash on DCIO assets and sales
  86. 86. Analysis of the resulting change in sales and marketing budgets, including areas most affected
  87. 87. Analysis of the key challenges facing DCIO business leaders</li></ul>DCIO Recordkeeper Payments: Policies and Benchmarks – May 2008<br /><ul><li>Slide deck analysis of a survey of 13 DCIO business leaders
  88. 88. Featuring
  89. 89. Average payments to DC platforms for retail and institutional shares of mutual funds, including the split between fund fees (from the sub T/A) and distributor fees (from the management fee) </li></ul>Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  90. 90. Representative Clients<br />Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />
  91. 91. Chris J. Brown<br />Principal <br />Sway Research LLC<br />603-382-5300<br />chris@swayresearch.com<br />www.swayresearch.com<br />Fall 2009<br />Copyright 2009 by Sway Research LLC. All rights reserved. Unauthorized use or reproduction is prohibited.<br />

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