High Impact Marketing for Investment Professionals

1. Top 100 High Impact Marketing forInvestment Professionals How to achieve powerful results by getting focused and leveraging your most valuable assets

2. About Steve Saenz… • Steve is the founder and president of Paragon Resources, Inc., a coaching and consulting firm based in Atlanta. Steve and his colleagues work exclusively within the financial services industry. Their clients include most of the major brokerage firms such as Morgan Stanley, Salomon Smith Barney, UBS|PaineWebber and dozens of independent financial planners throughout North America. Paragon specializes in helping investment professionals build and manage their businesses. His work is highly focused on helping his clients achieve 3 main goals: • Develop new business • Enhance client loyalty • Build high-performance teams Steve’s career in the financial services industry began in 1984, when he joined Merrill Lynch as a stockbroker in Atlanta. After five years of helping individual investors achieve their financial goals, Steve became a regional manager for Merrill Lynch Corporate Services. In that position, he trained financial consultants in the areas of pension plans and professional money management. In 1991, Steve left Merrill Lynch and became a regional director for Harris Bretall Sullivan & Smith, an institutional money manager based in San Francisco. There, he established himself as one of the industry’s top marketing reps, raising over $300 million in just 18 months. In 1994, Steve left Harris Bretall to start Paragon. Today, he lives in Seacrest Beach, Florida, where he spends most of his time coaching investment advisors and consulting to his corporate clients. Steve is also a captivating speaker and has recently completed his first book, Building A World-Class Business: How to Work Less and Make More Money. In this presentation, he explains a 3-step process he uses to help investment advisors turn their clients into raving fans. I also reveal the “4 Secrets of Getting Referrals.” The system described in this presentation has been six years in the making. It has been used by hundreds of investment professionals to bring in hundreds of millions in new assets. If you apply the concepts outlined in this presentation, you will see a significant increase in the number and quality of referrals you get within 3 – 6 months. You will enjoy stronger relationships and greater loyalty from your clients. Most importantly, you will add tremendous VALUE as a trusted advisor and have FUN in the process. Enjoy! Steve Saenz, Paragon Resources | ssaenz@ParagonResources.com

3. Click on any topic to jump to that page or use down arrow to advance one slide at a time. Use HOME button (upper-left) to return to this slide. Contents • Optimize your business! • Focus on Client Loyalty • Leverage Your Income • Understand the secret to getting more referrals • Employ a SYSTEM that gets results • Develop a clear & compelling story • Create high impact awareness • Turn your clients into raving fans • The Top 100 Marketing System • What kind of results can I expect? • How much does it cost? • Information

4. Raving Fans Loyalty Process Advocates Clients Sales Process Customers Shoppers Loyalty Tower* Prospects *Adapted from Up the Loyalty Ladder, By Murray & Neil Raphel Focus On Client Loyalty

5. What happens to yourPROFITABILITY over time? $289,731 The REAL upsidecomes in thelater years… Revenue B Annual Fee Paid by Client Time $144,866 Revenue A Client Lifetime Leverage Your Income

6. Leverage Your Key Relationships

7. In general, clients will only give you referrals on a regular basis if four things are true… Understand the secretto getting referrals… This one is the KEY… How many of yourbest clients couldexplain to someonewhat you do, howyou do it and howyou differ from otherinvestment advisors? They knowwhat to saywhen the rightopportunitypresents itself They arehighlysatisfiedwith yourservice They knowthat youneed andwant morereferrals They arehighlysatisfiedwith youradvice

8. Employ a SYSTEM thatgets results! The SYSTEMis the SOLUTION… Step 3: Turn Your ClientsInto Raving Fans Step 2: Create HighImpact Awareness Step 1: Develop A Clear &Compelling Story

9. Story Elements* Mission Statement Core Values Investment Philosophy Investment Process People Points of Distinction Tells clients/prospects… What you do for them What you stand for What you believe How you do what you do Who you are What makes you different Your Story communicates your “message” to clients/prospects… Develop a clear andcompelling story At the end of the day, marketing is about telling a story.If you want to be effective in today’s information overloadedsociety, your story better be CLEAR and it better be COMPELLING.Most importantly, it better DIFFERENTIATE you from everyone else!

10. High Impact Low Impact Low Effort High Effort Why do traditional marketing strategies have such low impact (and ROI)? Create highimpact awareness Advisor Referrals ClientReferrals Work HARD, Get Lousy Results! ? Networking Activities What’sgoing onhere? Seminars Writing Books Drip Marketing Web Site TV & Radio Writing Articles Teaching Classes Electronic Mail Advertising Fax Broadcast Direct Mail Volunteer Work Cold Calling Event Marketing

11. YOU YOU Because most are examples of “inside-out” marketing…(one-to-many) Create highimpact awareness “Outside – In”(One-to-Many) “Inside – Out”(One-to-One)

12. Raving fans don’t just walk in off the street, you have to create them… Turn your clientsinto raving fans This is a 4-step process we developed to help you create more Raving Fans in your business. This is the heart and soul of the Top 100 Marketing System. -1-DevelopA StrongVAR Network -2- IdentifyBreakthroughInsights -3-MakeValue-AddedReferrals -4-Turn YourClients IntoRaving Fans Value-AddedReferral Networkis a network ofadvisors andservice providersin your communitywho will helpyour clients solveproblems in avariety of areas.Think of this asyour personalstable of the “BestMinds In Town.” BreakthroughInsights arethings you will findout about yourclients that will putyou in a positionto add significantvalue. Typically,these are specificproblems orchallenges they(or their families)face today orin the future. When you uncoverBreakthroughInsights, you willmake Value-Added Referralsto people in yourVAR Network.When you do this,you are viewed asan expert problemsolver by yourclients. Your goalis to become their“Go-To-Guru.” You turn clientsinto raving fansby anticipating theirneeds, showingthem you care andexceeding theirexpectations.The Top 100Marketing Systemenables you toaccomplish all 3objectives in aconsistent anddeliberate way.

13. The Top 100 Marketing SystemTMis a complete referral and loyaltyprogram. The entire program is155 pages in length and comesin a custom 3-ring binder. The Top 100Marketing System • The Top 100 Marketing System is a powerful business development program that will help you get more referrals and build stronger client relationships • It was designed for advisors who are committed to using a fee-based consulting or planning approach to working with clients.

14. What kind of resultscan I expect? • Significant increase in the quantity and quality of Referrals within 3 – 6 months • Significant increase in the quality of Relationships you have with your Key Clients (more Raving Fans) • The Focus,Leverage and Structure you need to take your business to the next level

15. GUARANTEE: If you are not completely satisfied with the results you get from the Top 100 Marketing System or either of our coaching programs, we will give you a full refund. Please call for details. How muchdoes it cost? You have three purchasing options… • Option C • Individual Coaching • $2,995 • Purchase the Top 100Marketing System aspart of an individualcoaching program • Work in a semi-structured environment,1-on-1 with your coach • Includes the System +8 weekly one-hourcoaching calls led by acertified coach • Highly personalizedattention • Option B • Group Coaching$1,495 • Purchase the Top 100Marketing System aspart of a group-coachingprogram • Work in a structuredenvironment with 11other advisors • Includes the System +14 weekly one-hourcoaching calls which areled by certified coaches • Option A • Do-It-Yourself Plan$495 • Purchase the Top 100Marketing System as astand-alone marketingtool • Work at your own pace • Works best for highlydisciplined individuals

16. For more information… • Maximum Impact Marketing Workshop – Nov. 30 – Dec. 1, 2001 in Atlanta, GA. Call 404.873.0099 (Krista) • If you have any questions or comments, please feel free to contact me at: ssaenz@ParagonResources.com • For general information, please visit our web site at: www.ParagonResources.com • You can sign up for my free e-newsletter at:www.ParagonResources.com/newsletter/1intro.htm • Be sure to check out our new Digital Business CardTM at:www.ParagonResources.com/digitalbizcard/1intro.htm • and our group coaching program (Top 100 Challenge) at:http://www.paragonresources.com/top100/4top100challenge.htm