Advances in technology, tightening fiduciary regulations, and new expectations from the Millennial generation are raising the standard of investment advice and causing financial advisors (FAs) to significantly adapt their strategies. As the landscape changes advisors are looking beyond today to be ready for tomorrow. Join us for a groundbreaking series of focus groups that reveal what tomorrow’s financial advisor will look like and what types of support they will need.


The report will enable subscribers to:

  • Identify how demographic shifts, technology advancements and regulatory requirements are changing investor needs
  • Equip FAs with the tools, resources and support for continued success
  • Prioritize the products and services to yield the largest return
  • Maximize marketing and distribution efforts to meet the needs of this evolving market


A series of 12 focus groups in three major US markets will provide insights from FAs and affluent investors ($100K+ in investable assets).
Participating clients will have the opportunity to help shape the discussion guide and will be invited to watch the research live or remotely.


Subscription Details

Publication Date: July 2016


  • Detailed strategic report and recommendations
  • Focus group transcripts and recordings
  • Final WebEx presentation

Investment: $30,000

Percentage of AUM in DC plans
• Percentage of compensation from DC plans
• Number and size of plans managed
Services provided to DC plan sponsors and participants
• Impact of fee disclosure regulations
• Number of plan providers typically recommended
• Number and type of investment options typically recommended
• QDIA option used most often
• Target date fund recommendation

Areas of Inquiry

Advisor Perspective
Current Practices

  • Level of service and types of advice provided to clients
  • Information sources used for constructing client portfolios
  • Gaps in current capabilities and tools available

The Evolving Role of Technology

  • Impact of technology is having on investment attitudes, behaviors and portfolio construction
  • The ways technology and automation play a role in delivering financial advice
  • Optimal level of integration between personal interaction with clients and automation

Future Needs and Expectations

  • Impact of new fiduciary regulations on product usage, business practices and support
  • Predictions for the future role of the advisor

Investor Perspective
Perceptions of Advice Providers

  • Types of financial and investment advice desired and used
  • Differentiating factors in advice providers
  • Current role of the FA
  • Future expectations of FAs (including impact of new fiduciary regulations)

Top Sources for Financial Planning & Investing

  • Traditional media (print, TV, radio)
  • Digital (web, apps, social media)
  • Personal contacts (friends, family, professionals)
  • Ways in which the mix of sources is changing

The Evolving Role of Technology

  • Impact of technology on investing attitudes and behaviors
  • Interest and usage of fully-automated advice models
  • Advantages and disadvantages of
    automated advice models
  • Optimal level of integration between interaction with an FA and automated advice

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