Investor Brandscape 2007: Measuring the Impact of Brand and Loyalty on Revenue in the Affluent Marketplace

Published by: Cogent Research, LLC

Published: Feb. 26, 2008 - 203 Pages

Table of Contents

Exhibit

Strategic Consideration

Biographie

Objectives & Methodolog

Executive Summar

Chapter One: Planning and Retirement Preparednes

1. Relationships with Financial Services Provider

2. Managing Investment Ris

3. Planning & Preparednes

Chapter Two: The Investor/Advisor Relationshi

1. Advisor Role in Decision-Makin

2. Types of Advisors Use

3. The Primary Financial Advisor Relationshi

Chapter Three: Investment Product Allocation

1. Account Usage and Allocation

2. Assets in Plans of Former Employer

3. Investment Product Usage and Allocation

4. Use of Lifecycle, Lifestyle, and Index Fund Product

Chapter Four: Distributor Brand Equit

1. Distributor Brand Awarenes

2. Investor Impressions of Distributor

3. Distributor Brand Equity Score

4. Investor Relationships with Distributor

Chapter Five: Distributor Market Shar

1. Primary Distributor Relationship

2. Household Penetration - Wallet Share & Account

3. Drivers of Initial Client Investmen

4. Converting ESRPs to Brokerage Busines

5. Ownership Score

Chapter Six: Distributor Revenue and Loyalt

1. Drivers of Distributor Profitabilit

2. Distributor Revenue Score

3. Drivers of Distributor Loyalt

4. Distributor Customer Loyalty Score

Chapter Seven: Distributor Competitive Threats & Opportunitie

1. Distributor Termination

2. Assets In Former Employer-Sponsored Retirement Plan

3. Distributor Competitive Threats & Opportunitie

Chapter Eight: Mutual Fund Brand Equit

1. Mutual Fund Brand Awarenes

2. Investor Impressions of Mutual Fund Companie

3. Mutual Fund Brand Equity Score

Chapter Nine: Mutual Fund Market Shar

1. Mutual Fund Market Shar

2. Household Penetration - Wallet Share & Allocatio

3. Drivers of Initial Client Investmen

4. Ownership Score

Chapter Ten: Mutual Fund Revenue & Loyalt

1. Drivers of Mutual Fund Revenu

2. Mutual Fund Comapny Revenue Score

3. Drivers of Mutual Fund Loyalt

4. Mutual Fund Customer Loyalty Score

Chapter Eleven: Mutual Fund Competitive Threats & Opportunitie

Chapter Twelve: Measuring and Strengthening the CoRe Score

1. Distributor CoRe Scores

2. Mutual Fund Company CoRe Scores

3. Strategies for Building a Stronger CoRe Score

APPENDICES

A. Variable Annuity Provider Market Share and Loyalt

B. Differences Among Investors that Use Advisors and Those That Don'

C. Detailed Provider Loyalty Table

D. Highlights of the Sampl

Exhibits

CHAPTER ONE

Exhibit 1: Number of Distributor Relationships by Wealth Segmen

Exhibit 2: Investment Risk Tolerance by Generatio

Exhibit 3: Financial and Retirement Planning Action

Exhibit 4: Employment Status by Generatio

Exhibit 5: Creation of Financial Plan by Generatio

Exhibit 6: Creation of Financial Plan by Wealth Segmen

Exhibit 7: Consolidation of Asset

Exhibit 8: Purchase of Long-Term Care Insurance by Wealth Segmen

CHAPTER TWO

Exhibit 1: Management of Investable Asset

Exhibit 2: Financial Advisor Dependence by Generatio

Exhibit 3: Investors Without an Advisor by Wealth Segment & Generatio

Exhibit 4: Types of Financial Advisors Use

Exhibit 5: Primary Financial Advisor by Wealth Segmen

Exhibit 6: Percent of Assets Invested with Primary Advisor by Generatio

Exhibit 7: Catalyst to Work with Primary Financial Adviso

Exhibit 8: Length of Relationship with Primary Financial Advisor by Generatio

Exhibit 9: Length of Relationship with Primary Financial Advisor by Wealth Segmen

Exhibit 10: Primary Financial Advisor Distributor Affiliatio

Exhibit 11: Primary Financial Advisor Investment Firm Affiliation - Key Market Segment

Exhibit 12: Satisfaction with Primary Financial Advisor by Generatio

Exhibit 13: Satisfaction with Primary Financial Advisor by Distribution Channe

Exhibit 14: Likelihood to Recommend Primary Financial Advisor by Generatio

Exhibit 15: Likelihood to Recommend Primary Financial Advisor by Wealth Segmen

Exhibit 16: Likelihood to Follow Financial Advisor to New Fir

Exhibit 17: Vulnerability by Broker/Deale

CHAPTER THREE

Exhibit 1: Investable Assets by Account Typ

Exhibit 2: Distribution of Assets Across Accounts by Wealth Segmen

Exhibit 3: Distribution of Assets Across Accounts by Generatio

Exhibit 4: Overall Account Ownership & Asset Allocatio

Exhibit 5: College Savings Plan Ownership by Generatio

Exhibit 6: Distribution of Retirement Assets Across Qualified Account Types by Generatio

Exhibit 7: Investable Assets in Plans of Former Employers by Generatio

Exhibit 8: Assets Invested in Former ESRP

Exhibit 9: Investment Allocation by Produc

Exhibit 10: Percent of Investment Assets Allocated to Mutual Funds & Individual Securitie

Exhibit 11: Hedge Fund Ownership by Wealth Segmen

Exhibit 12: Assets Allocated to Annuities by Generatio

Exhibit 13: Percent of Assets Allocated to Annuities by Primary Distributor Channe

Exhibit 14: Product Ownership & Allocatio

Exhibit 15: Use of & Interest in Index Mutual Funds by Generatio

Exhibit 16: Use of & Interest in Lifestyle Funds by Generatio

Exhibit 17: Use of & Interest in Lifecycle Funds by Generatio

CHAPTER FOUR

Exhibit 1: Unaided & Top-of-Mind Awareness by Distributo

Exhibit 2: Unaided Distributor Awareness by Market Segment

Exhibit 3: Unaided & Aided Awareness by Distributo

Exhibit 4: Favorable Impression by Distributo

Exhibit 5: Distributor Awareness & Impression Scattergra

Exhibit 6: Association & Impact of Scandal by Distributo

Exhibit 7: Distributor Brand Equity Score

Exhibit 8: Distributor Channel by Generatio

Exhibit 9: Distributor Channel by Wealth Segmen

Exhibit 10: Primary Relationships by Channe

Exhibit 11: Share of Household Relationships by Distributo

Exhibit 12: Number of Distributor Relationships by Primary Channe

Exhibit 13: Percent of Relationships that are Primary by Distributo

CHAPTER FIVE

Exhibit 1: Primary Distributor Channel by Generatio

Exhibit 2: Primary Distributor Channel by Wealth Segmen

Exhibit 3: Share of Household Relationships by Primary Distributo

Exhibit 4: Primary Distributor Share of Assets Per Househol

Exhibit 5: Percent of Assets Invested with Primary Distributor by Wealth Segment & Generatio

Exhibit 6: Number of Household Accounts by Distributo

Exhibit 7: Number of Accounts by Wealth Segmen

Exhibit 8: Length of Relationship by Primary Distributor Channe

Exhibit 9: Length of Relationship by Wealth Segmen

Exhibit 10: Length of Relationship by Distributo

Exhibit 11: Main Reason for Opening an Account by Wealth Segmen

Exhibit 12: Main Reason for Opening an Account by Primary Distributor Typ

Exhibit 13: Main Reason for Opening an Account by Primary Distributo

Exhibit 14: Market Share of Employer-Sponsored Retirement Plan Provider

Exhibit 15: Percent of ESRP Participants Also Brokerage Clients by Distributo

Exhibit 16: Distributor Ownership Score

CHAPTER SIX

Exhibit 1: Dispersion of Clients Across Wealth Segments by Channe

Exhibit 2: Dispersion of Clients Across Wealth Segments by Distributo

Exhibit 3: Average Wallet Share Across Wealth Segments by Channe

Exhibit 4: Client Investable Assets by Distributo

Exhibit 5: Primary Distributor Share of Client Investable Assets & Wallet Scattergra

Exhibit 6: Average Household Assets & Net Revenue by Channe

Exhibit 7: Distributor Revenue Score

Exhibit 8: Drivers of Distributor Satisfaction, Additional Investment & Recommendatio

Exhibit 9: Distributor Ratings Across Key Loyalty Driver

Exhibit 10: Average Client Ratings by Distributor Channe

Exhibit 11: Distributor Customer Loyalty Score

Exhibit 12: Distributor Client AUM and Customer Loyalty Scattergra

CHAPTER SEVEN

Exhibit 1: Top 10 Reasons for Terminating a Distributo

Exhibit 2: Reason for Terminating a Distributor by Generation & Wealth Segmen

Exhibit 3: Terminated Relationships by Distributo

Exhibit 4: Top Reasons for Termination by Distributo

Exhibit 5: Winners & Losers of Terminated Distributors by Channe

Exhibit 6: Primary Relationships of Former Clients That Terminated

Within the Past 5 Year

Exhibit 7: Percentage of Clients who Currently Have an ESRP with a Former Employe

Exhibit 8: Client Assets Held in a Former ESRP by Distributo

Exhibit 9: Opportunity in Former Employer-Sponsored Retirement Plans Scattergra

Exhibit 10: Distributor Competitive Threat & Opportunity Matrice

CHAPTER EIGHT

Exhibit 1: Unaided & Top-of-Mind Awareness by Mutual Fund Compan

Exhibit 2: Unaided Mutual Fund Company Awareness Across Age & Wealth Segment

Exhibit 3: Unaided & Aided Awareness by Mutual Fund Compan

Exhibit 4: Favorable Impression by Mutual Fund Compan

Exhibit 5: Drivers of Positive Mutual Fund Company Impression

Exhibit 6: Mutual Fund Company Awareness & Impression Scattergra

Exhibit 7: Association & Impact of Scandal by Mutual Fund Compan

Exhibit 8: Mutual Fund Companies Most Associated with Specific Investment Style

Exhibit 9: Mutual Fund Companies Most Associated with Specific Service

Exhibit 10: Mutual Fund Brand Equity Score

CHAPTER NINE

Exhibit 1: Percent Allocated to Mutual Funds by Primary Distributor Channe

Exhibit 2: Proprietary Fund Ownership & Allocation by Distributo

Exhibit 3: Share of Household Relationships by Mutual Fund Compan

Exhibit 4: Percent of Clients for Whom Firm is Primary Mutual Fund Compan

Exhibit 5: Mutual Fund Company Share of Mutual Fund Assets Per Househol

Exhibit 6: Main Reason for Opening a Mutual Fund Account by Wealth Segmen

Exhibit 7: Main Reason for Opening a Mutual Fund Account by Generatio

Exhibit 8: Main Reason for Opening an Account by Mutual Fund Compan

Exhibit 9: Account Type Ownership by Mutual Fund Compan

Exhibit 10: Mutual Fund Ownership Score

CHAPTER TEN

Exhibit 1: Investable Assets in Mutual Funds by Wealth Segment and Generatio

Exhibit 2: Dispersion of Clients Across Wealth Segments by Mutual Fund Compan

Exhibit 3: Client Investable Assets by Mutual Fund Compan

Exhibit 4: Mutual Fund Company Client Investable Assets & Wallet Share Scattergra

Exhibit 5: Mutual Fund Company Revenue Score

Exhibit 6: Drivers of Mutual Fund Company Satisfaction, Additional Investment, & Recommendatio

Exhibit 7: Mutual Fund Company Ratings Across Key Loyalty Driver

Exhibit 8: Mutual Fund Company Loyalty Score

Exhibit 9: Mutual Fund Company Perception of Consistent Performance & Customer Loyalty Scattergra

CHAPTER ELEVEN

Exhibit 1: Mutual Fund Competitive Threat & Opportunity Matrice

CHAPTER TWELVE

Exhibit 1: Components of the CoRe Score

Exhibit 2: Distributor CoRe Scores

Exhibit 3: Distributor CoRe Scores™ Summary Tabl

Exhibit 4: Dispersion of Distributor CoRe™ Scores Across Categorie

Exhibit 5: Mutual Fund Company CoRe Scores

Exhibit 6: Mutual Fund Company CoRe Scores™ Summary Tabl

Exhibit 7: Dispersion of Mutual Fund CoRe™ Scores Across Categorie

Exhibit 8: CoRe Score™ Driver

APPENDIX A

Exhibit 1: Share of Household Relationships by Variable Annuity Provide

Exhibit 2: VA Provider Loyalty Score

Exhibit 3: Drivers of VA Provider Satisfaction, Additional Investment, & Recommendatio

Exhibit 4: Variable Annuity Provider Ratings Across Key Loyalty Driver

Exhibit 5: VA Provider Perception of Recent Investment Performance & Customer Loyalty Scattergra

Abstract

As the race for affluent and high net-worth investors intensifies, it is more important than ever for firms to understand the critical challenges and emerging opportunities in the financial services industry. Investor BrandscapeTM 2007 provides an accurate measure of firm strength and momentum as well as suggestions for how to make improvements or take advantage of areas of strength whether your company is an asset manager or a distributor.

Results are drawn from a representative cross-section of 4,000 affluent and high net-worth U.S. investors. Robust sample allows for key demographic and behavioral segmentation, including analysis by age and wealth segments.

Investor BrandscapeTM 2007 evaluates top investor brands using a composite score that blends brand equity and customer loyalty measurements with ratings for household wallet share, penetration, and revenue generation. Discover which brands are considered stars and which brands are considered drifters in each of the individual measures as well as which firms may be vulnerable to client defections and what these firms can do to increase client loyalty. Additionally, this report provides key insights into the role of advisors, investment product usage and allocations, and how engaged investors are in planning for their retirement.

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