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Industry Benchmarking Studies

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        In A Down Market, What Types of Communication Do Investors Most Want? by Stephen C. Winks. In a third quarter 2001 survey of high net worth investors with more than $1 million in liquid net worth, SEI Investments has gained extraordinary insight into what types of communication and information investors most want. Not surprisingly, the survey affirms the high level, on-going counsel of the investment management consultant and, more importantly, delineates specifically what the highest margin and most attractive market segment within the financial services industry requires in on-going communication. (Download in pdf format)

        Dalbar Study Establishes Best Practices for Performance Reporting, Top Firms Rated by Stephen C. Winks. Dalbar surveyed separately managed account managers and investment management consultants via telephone interviews and conducted focus groups to determine what was most important to the investor in performance reporting and how the investor ranked those criteria in order of importance. The criteria that the investors felt were most important fell into four categories: primary goals, desirable features, undesirable features and secondary goals. (Download in pdf format)

        AIM Survey Finds Fee-Based Consultants Advise More Assets, Make More Money, Manage Fewer Accounts and Get More Referrals by Stephen C. Winks. Many in the financial services industry are looking for scientific evidence to confirm the avalanche of anecdotal evidence that the financial services industry is evolving from a commission brokerage model to a fee-based advice business model. AIM Funds distributors, the fast growing Houston-based mutual fund company that in the last seven years, has grown from $33 billion to $176 billion, has commissioned the Gresham Company and Prince & Associates to find what the marketplace is actually saying about the fee-based advisory services business. This is the first such survey of financial advisors to more scientifically delineate the metamorphosis that many are sensing is occurring in the financial services industry. (Download in pdf format)

        Consultants Well-Situated to Take Advantage of Shifting Financial Industry by Stephen C. Winks. It's no secret that this new century signals big changes for investment professionals. While it seems nearly everyone even remotely affiliated with the industry has been delving into full-service investment advice, the good news is that investment consultants already have a leg up on the competition. They've long known the advantages of fee-based advice - for themselves and their clients - and have successfully emphasized value-added services. (Download in pdf format)

        Hidden Costs Drag Performance by Stephen C. Winks. According to a new study by the Plexus Group, a Lost Angeles-based consulting firm, it has been found that a variety of sometimes hefty, often hidden transactions cost may be dragging down otherwise good performance in the mutual fund industry. (Download in pdf format)


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        IIMC Survey by Stephen C. Winks. The average Certified Investment Management Consultant (CIMC) now has over $100 million under management and generates over $1 million in gross revenues, according to an industry survey. The average assets under management by a CIMC was surprising to many industry leaders as it is well in excess of the $25 million under management that the SEC considers a high level advisor requiring a federal review. (Download in pdf format)

        Brokers Moving to Advisory Fees by Stephen C. Winks. A new Marketing Matrix, Inc. survey of the top managers at 59 mutual funds groups, 201 investors and 203 registered representatives has found that nearly all believe that by 2005, registered reps will primarily be engaged in fee based consulting services rather than commission brokerage. The two-year study was part of a larger study on the differences in perception between mutual fund group mangers, investors and registered representatives. (Download in pdf format)

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