Click on any of the tabs below to read a description of some of the many projects we have executed over the past 20 years.

Increase visibility and market share...

A securities clearing firm was a leader in one market segment, but enjoyed only limited visibility and presence in the overall clearing market. As clearing is a large but fragmented market, a single overall expansion strategy was not possible.

Using a telephone questionnaire, we interviewed senior executives at small and mid-sized brokerage firms to segment and profile the market, and discern the needs of each segment. We then recommended specific strategies to penetrate the segments showing the highest potential.

The client used the results to successfully target several market segments and become one of the largest clearing firms in the United States.

Enter the European market...

A US financial software and services company desired to enter the European market, but needed to determine the strategy for entry, which countries offering the best opportunity and the specific service offering appropriate for each country.

After evaluating the economic, investing and regulatory environment across seven European countries, we selected four countries for market testing. Starting with interviews with prospective customers to ascertain interest in the proposed service, we also evaluated local joint venture partners, identified localization issues and anticipated competitive response.

The company launched successfully in a prime target country.

Launch a new financial service company in Japan...

A US investment firm and software vendor was launching a Japanese broker-dealer and technology company to serve the emerging Independent Advisor market in Japan.

We worked with the company to educate the Japanese staff on asset allocation concepts and the marketing of these concepts to an investment advisor and retail customer audience. We also helped them develop their marketing strategy, including identity kits and brochures, an advisor training curriculum, and customer research program.

By the end of the year, the company had recruited more than 100 investment advisors.

Increase international business and improve customer satisfaction...

A U.S. based brokerage firm wanted to develop a better understanding of investor needs in other countries in order to expand its international business.

We developed and executed a research program in Latin America and Asia to evaluate investor behavior, interest in foreign investing and investment service needs. We also evaluated brand awareness and major competitors in each market.

Separately, we conducted a series of focus groups, telephone and online surveys with current international customers to assess satisfaction with their brokerage relationship, identify areas needing improvement, and new services desired. All aspects of the brokerage relationship were covered, including account opening, product access, traditional and online trading, research and education and performance versus the customer's other financial institutions.

Increase market penetration...

A brokerage firm providing back office and marketing support to the independent advisor market wanted to significantly increase its position. We conducted several assignments designed to size and segment the 20,000+ advisor market in the United States, identify the key needs of each segment, and assess the performance of our client relative to its key competition in servicing its clients.

Over the next few years, the company became a leading player servicing this market.

Improve customer satisfaction...

A New York investments firm sought to improve satisfaction levels among two key target markets: high net worth clients, and entrepreneurs. In addition they wanted to track changes in client demographics and satisfaction levels since its previous client survey.

We designed and executed a mail survey of the firm's clients and a sample of clients from competitive firms, tested for satisfaction levels with all aspects of the investment process, brand awareness and perceptions, and customer loyalty to firm versus the individual broker.

The company used the results to train its advisors on how to better service these two target groups. In addition, several new products and services were identified and developed.

Improve employee satisfaction...

After several years of significant internal organizational changes, a global company wanted to assess employee satisfaction across their offices in different countries. We executed an online survey exploring all aspects of the employee/company relationship from hiring practices to manager evaluations, career path, support functions and job satisfaction.

The results were used by department managers to create an action plan to improve employee satisfaction.

Grow a new business...

A new retirement services provider needed to reach critical mass quickly but had limited sales resources.

We worked with the president to create and implement a planning process for the sales force. We created the structure, established key strategic goals, and then worked with each sales person to help establish individual objectives and create tactical plan for achieving their objectives.

In a second phase, we designed a prospecting database to identify retirement services prospects, perform market analyses and track sales contacts, appointments, etc. Using the database, we then created a direct mail and tele-marketing program to generate qualified leads for the sales force.

By the end of the second year, the client had more than $2 billion under management.

Prospect identification and qualification...

An institutional broker wished to expand its visibility and sales efforts with corporate and public pension plans, but had limited sales resources.

We worked with the sales force to set priorities and then developed a direct mail and telemarketing campaign to identify and qualify leads.

Response rates, defined as qualified candidates interested in receiving a sales call, were over 60%.

Launch an online broker-dealer in Asia...

A leading Asian full-service broker was introducing an on-line discount broker to enhance its service offering without cannibalizing its current customer base.

We provided counsel on the best practices at U.S. on-line brokerages and how to adapt them to their local market. We also advised them on several aspects of the new venture, including site design and how to present information on the web so that it is clear and easy to comprehend, how to market effectively on the web and differentiate their site from the competition, and on site content and investor education requirements.

The online broker launched successfully, surpassed its asset and client goals, and achieved a top rank among online brokers.

Develop marketing strategy and infrastructure for a nonprofit...

A New York nonprofit cultural center had no internal expertise in administration or marketing and very limited resources to reach out to potential clients and donors.

We created a marketing program including a web site, print advertising, printed brochures and flyers, and identified low-cost sources for advertising and printing. In addition we created administrative processes to help them respond to requests for services and control spending.

After a year, the organization went from a financially precarious position to a more secure one, visibility increased both on the Internet and in the community. This base allowed them to win grants and expand their community activities.