Cogent Reports of Market Strategies International

Investors have many choices for financial advice. The emergence of robo-advisors and other fin-tech solutions is adding to the options. While growing assets under management is often the primary goal of asset managers and distributors, identifying at-risk clients and minimizing attrition is an increasingly important area of focus.


The At-risk Advised Client examines the aspects that can make investor-advisor relationships unravel and fail. What are the tipping points that prompt investors to leave their advisors? What red flags were missed that may have prevented client attrition? This combination of two in-depth research efforts, one qualitative and
one quantitative, is designed to provide advisory firms with a better understanding of the at-risk client mindset in order to strengthen and optimize ongoing retention efforts and shape acquisition strategies.


Retain Assets

  • Identify triggers for switching and uncover the paths that create at-risk clients to fortify practice management initiatives and keep
    assets in-house

Repair and Rebuild Relationships

  • Examine opportunities to repair and rebuild advisory relationships that may be in jeopardy

Optimize Support Strategies

  • Optimize support for advisors’ client management efforts by developing effective outreach strategies targeting likely switchers (freeing advisors to focus on acquisition)


Phase 1: Qualitative Research

  • Series of online bulletin boards spanning three days
  • Affluent US investors with a minimum of $100,000 in investable assets in phases of advisor transition
  • Mix of generations, net worth and gender

Phase 2: Quantitative Research

  • Web-based survey among a representative cross section of US adults with a minimum of $100,000 in investable assets
  • Stratified sample to allow for subgroup analysis by assets, age, generation, gender, distribution channel and other key variables


Areas of Inquiry

Triggers for Becoming an At-risk Client

  • Early signs of unhappiness in investor-advisor relationships
  • Unmet expectations investors have of advisors
  • Key triggers and disruptive events that prompt clients to consider switching

Rebuilding Relationships

  • Strategies for “righting the wrong” with dissatisfied clients
  • Practical guidelines for identifying at-risk clients
  • Road map for converting unhappy clients to advocates

Opportunities to Attract At-risk Clients from Competitors

  • Specific tactics to target and engage dissatisfied advised investors
  • Best practices for working with jaded investors with a previous negative advisory experience
  • Role of the advisory firm in the client acquisition process

Subscription Details

Phase 1: Winter 2017
Phase 2: Winter 2017


  • Detailed qualitative report including a summary of findings and strategic implications
  • Presentation designed to deliver actionable results and facilitate strategic planning
  • Detailed quantitative report with charts and commentary
  • Analysis of proprietary questions (for pre-subscribing clients)

Investment: $40,000

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