Case Study A: Platform Development

Engaged on retainer by an asset manager with more $1 trillion under management, with a goal of exploring, and potentially developing, a major retirement income platform. The scope of the engagement included:

• Full-day strategy session with the retirement income task force as project launch meeting

• Providing ongoing market intelligence on developments in competitive retirement income products and services

• Identifying and screening of potential content partners

• Advice and guidance on platform construction and distribution and marketing strategy

Case Study B: Mutual Fund Product Strategy

Hired by a top-25 asset manager to review the firm's existing mutual fund lineup and investment management capabilities and recommend new retirement income-oriented fund products to bring to market. The scope of the engagement included:

• Education of the retirement income task force at project kick-off meeting

• In-depth review of competitive product landscape

• Review of firm's existing product line and investment management capabilities

• Recommendations of several new products that would leverage firm's capabilities and serve the income needs of retirees

Case Study C: Asset-Gathering Strategy

Engaged by one of the Nation’s leading financial institutions, with a goal of significantly ramping up its IRA rollover efforts across a number of distribution channels. The scope of the engagement included:

• Analysis of the IRA rollover product, service, marketing, and client segmentation strategies of the client’s chief competitors - the industry’s leading broker/dealers and banks

• Examination of the client’s existing IRA rollover product, service, and marketing efforts across multiple distribution channels

• Recommendations for specific product, service, and marketing strategies to dramatically enhance the existing IRA rollover strategy and capture more significantly more assets

Case Study D: Work-site Marketing Strategy

Hired by a leading 401(k) service provider with an affiliated brokerage platform. The firm sought to enhance its understanding of competitors' DC plan participant marketing programs and enhance its work-site offering. The scope of the engagement included:

• Design and execution of an in-depth survey of DC plan service providers

• In-depth interviews with sales and marketing executives of DC plan administrators

• Compilation and presentation of findings

• Recommendation of strategies for client to enhance its work-site marketing programs and capture more IRA rollovers

Case Study E: DCIO Unit Creation

Advised a top-selling mutual fund company with a goal of creating an investment-only defined contribution sales and marketing effort. The scope of the engagement included:

• Presentation to the firm’s CEO and chairmen at project outset, providing a convincing rationale for launching an DCIO effort

• Market sizing and growth forecasts across market segments and distribution channels

• Guidance on product strategy - from legal structure, to asset class, to sub T/A and 12b-1 fees

• Advice on sales and marketing strategy, including internal and external sales force headcounts, channel strategy, compensation structures, and marketing programs

Case Study F: Product & Distribution Strategy

Hired by a mid-tier asset manager with a goal of distributing its funds through DC platforms. The scope of the engagement included:

• Half-day strategy session with senior management to review DCIO market landscape and determine appropriate market segments and platforms partners to target for entry

• Examination of fees and expenses on existing fund lineup and recommendations for alterations and new fund share classes appropriate for DC platform distribution

• Assess potential M&A opportunities with small fund groups as a means to enhance existing product line and improve DCIO opportunities