HIGH
LOW
LOW
HIGH
Time commitment required to manage investments
Transition from brokerage to advisory
Transition within advisory
Time available to build lasting client relationships
Transactional Advisor
Advisor as Portfolio Manager
Advisor as Asset Allocator
From A to C shares
From individual stocks and bonds to asset allocation funds
Addressing off-platform assets
From individual investments to wrapping individual investments into a fee-based account
From non-discretionary accounts to discretionary accounts
From advisor as portfolio manager to centrally-managed accounts
From advisor as asset allocator to outsourced model
From advisor as asset allocator to proactive tax management
From third party asset managers (TAMPs) to firm platforms
Wrapping individual investments into an asset allocation strategy using mutual funds, separately managed accounts, bonds and bond funds, cash
Advisor Leveraging Models
