Marketing and Service Models Where do you find most of your new clients? 2017 2017 2016 l Referrals from other professionals/Strategic relationships l Referrals from existing clients l Cold calling l Webinars l Seminars l Email marketing/Newsletters l Search engine optimization l Social media l Other Which of the following success measures do you use with retirement plan clients? 2017 Participation rates Deferral rates of various employee segments External/Competitive benchmarking of plan design % of participants with " appropriate " asset allocations (i.e., close to target-date fund glide path, etc.) % of participants meeting retirement income replacement ratio goals (i.e., will replace X% of income in retirement) % of participants who increased deferral rates in the prior 12 months % of participants saving to match % of participants using advice tools/seminars offered through the plan % of participants meeting projected monthly retirement income goals (i.e., $X per month in retirement) Employee satisfaction with plan (through survey) Other None-we have no formal plan success measures 2016 84% 77% 78% 70% 72% 65% 69% 52% 58% 50% 55% 45% 52% 42% 37% 28% 32% 32% 25% 26% 8% 14% 3% 2% " We see asset allocation of employee accounts, deferral amounts, and deferral patterns as much more important than the individual fund performance. We do seek consistent managers that provide above average downside protection. Most defined contribution plans have 90% unsophisticated investors, thus downside protection is paramount to protect their interests and keep them deferring during those '2008 periods.' " Dually registered RIA/BD; adviser plan assets: >$400mm - $600mm 52 | planadviser.com november-december 2017 2016 63% 64% 25% 25% 4% 1% 3% 1% 1% 0% 2% 5% 1% 0% 0% 0% 0% 7%http://www.planadviser.com